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2.0 - 5.0 years
5.0 - 10.5 Lacs P.A.
Mumbai, Maharashtra, India
Posted:2 weeks ago| Platform: 
On-site
Full Time
Role : Legal & Compliance Officer Location: Mumbai ( Prabhadevi) Qualification : CS + PG Diploma in Securities Laws or LLB + PG Diploma in Securities Laws Experience: 2 to 5 years Job description : Key Responsibilities:- Provide legal advice and ensure compliance with SEBI, NSE, BSE, and NSDL regulations. Draft, review, and manage contracts and legal documents. Handle inspections from SEBI, Exchanges, and DP; prepare reports and responses. Address investor complaints and regulatory queries. Monitor and report on internal compliance, KYC, due diligence, and transaction alerts. Coordinate certifications, internal training, and policy implementation. Manage periodic regulatory filings and audits.
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