Role & responsibilities

Litigation management-
Guide the team on arbitration / legal proceedings for effective representation of the organization at various courts / forums, regulatory agencies like Exchanges / Depositories / SEBI / FMC, Police Authorities etc. & ensure their closure without any adverse impact to the company. Update management on evolving judicial trends, legislative proposals, policy changes & update the processes in collaboration with corporate legal cell

Compliance management

Develop and implement an effective compliance program, create sound internal controls and monitor adherence to the same. Oversee compliance with respect to Stock Broking, Depository Operations, PMS, Debt Market, Investment Advisory & Research Analyst services of the Company. Oversee Regulatory / Exchange Inspection and ensuring effective implementation / corrective measures based on the findings of Regulator / Exchange Inspection Stock Broking, Depository, PMS, IA& RA Review / Revise company policies and proactively audit processes,



practices and documents to identify weaknesses and evaluate business activities to assess compliance risk Ensure non-repetition of non-compliance observed by Auditors/Inspection officials Validate the regulatory and compliance requirements for the recent business initiatives, product launches and business compliance as applicable

Legal and Compliance governance

To facilitate signoff process from legal for all recent products / processes offerings and investment initiatives on a timely basis and advise solid legal covenants favoring the business Implementing governance structure that fosters 'No Surprises Culture' through identification & review of organization top risk actionable items

Preferred candidate profile

Provide strategic and operational guidance to senior leadership across the business and aiding them to manage legal issues. Develop and oversee compliance of regulatory guidelines and internal policies. Evaluate the efficiency of control and improve the same continuously.

📌 Head Legal & Compliance Tamil Nadu
🏢 TopGear Consultants
📍 Tamil Nadu