Legal & Compliance Officer

Job Overview:

The Legal & Compliance Officer is responsible for overseeing and managing the company’s legal and regulatory compliance functions. This role ensures that QUANTSAPP operates within the bounds of all applicable laws and regulations while mitigating legal risks and safeguarding the company’s interests.

Key Responsibilities:

Regulatory Compliance:

1. Develop, implement, and maintain compliance policies and procedures in line with relevant laws and regulations.

2. Monitor and review changes in laws and regulations, and assess their impact on the company’s operations.

3. Conduct regular compliance audits and risk assessments to identify potential compliance issues.

Legal Advisory:

1. Provide legal advice and guidance on a wide range of issues including corporate governance, contracts, intellectual property, and employment law.

2. Draft, review, and negotiate contracts, agreements, and other legal documents to ensure the company’s interests are protected.

3. Manage relationships with external legal counsel and coordinate legal services as needed.

Training and Awareness:

1. Develop and deliver compliance training programs for employees to promote understanding and adherence to compliance policies.

2. Foster a culture of compliance within the organization through effective communication and awareness initiatives.

Incident Management:

1. Investigate and manage compliance-related incidents, including potential breaches of laws or internal policies.

2. Prepare and submit reports on compliance issues, incidents, and resolutions to senior management.

Documentation and Reporting:

1. Maintain accurate records of compliance activities, including policies, training, and audit findings.

2. Prepare and present compliance reports to senior management and regulatory bodies as required.

Ethical Standards:

1. Promote and uphold high ethical standards and integrity within the company.

2. Address and resolve ethical concerns and conflicts of interest.

Qualifications:

· Education: Bachelor’s degree in Law, Business Administration, or a related field or relevant legal qualification preferred.

· Experience: 2 to 4 years of experience in legal and compliance roles, preferably in Broking Industry

· Skills:

o Strong knowledge of regulatory requirements and legal principles.

o Excellent analytical, organizational, and communication skills.

o Proven ability to handle multiple priorities and manage time effectively.

Certifications: Professional certifications such as Certified Compliance & Ethics.

Location: Andheri, Mumbai

Job Type: Full-time

Schedule:
• Day shift

Experience:
• Legal Advisory: 1 year (Preferred)

Work Location: In person

India
Maharashtra
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