Emkay Global Financial Services Ltd
Compliance Manager, Law/Legal
Emkay Global Financial Services Ltd • Mumbai, Maharashtra • via Learn4Good
3 days ago
Full–time
Apply on Learn4Good
Job description
Job Responsibilities :
- • Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.
• Liasoning and co-ordinating with Regulator for PMS, AIF compliance and queries
• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)
• Review, Preparation/Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents/Contribution agreements/ distribution agreements and intimation to regulatory Authorities wherever required.
• Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.
• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections;
Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.
• Co-ordinating with counsels for legal support, opinions and clarifications
• Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation’s practices and policies remain up-to-date and compliant.
• Liasoning with product and sales team on products and filings Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed Review of Application Form, literature, factsheets, communiques and communications Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR.
• Liasoning with product and sales team on products and filings with regulator.
• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.
• Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.
• Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.
• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.
• Collaborate with internal departments to provide guidance on compliance-related matters.
• Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.
• Co-Jointly work with Group compliance team for compliances relevant to other verticals Key Skills :
- • Interpersonal / Communication Skills
• Networking and Market Intelligence
• Strong Client Relationship Skills
• Result Orientation
• Collaborative Approach Functional
Competencies:
- • Excellent in MS Office (Word, PowerPoint Excel)
• Excellent communication skills in English (oral and written)
Qualification:
- • Graduate/Post Graduate with Degree in Law is preferred.
• NISM Series-III-A:
Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.
Experience:
- • Min. 3
-5 years of experience handling the compliance, legal, functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF PMS Regulations in particular.
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Amit Nagar
Collections Legal Manager - BFSI Sector
Amit Nagar • Mumbai, Maharashtra • via IIM Jobs
3 days ago
Full–time
Apply on IIM Jobs
Job description
Collections Legal Manager
We are seeking a driven and detail-oriented Collections Legal Manager with 35 years of experience in banking, financial services, or NBFC environments.
This role is responsible for managing loan collections, handling legal recovery actions, and supporting litigation and enforcement procedures related to default cases.
The ideal candidate should possess sound knowledge of recovery strategies, RBI guidelines, legal frameworks (SARFAESI, Arbitration, DRT), and must be able to drive resolution through field recovery, settlements, and legal action.
Key Responsibilities
Collections Management
- Manage delinquent portfolios (early bucket, mid, and write-off stage) across secured/unsecured loans.
- Drive field collection efforts through internal teams and external recovery agencies.
- Monitor collections performance, recovery rates, and implement corrective measures where necessary.
- Initiate and manage settlement negotiations with defaulters.
- Maintain MIS reports on recovery status, agency productivity, and NPA movement.
Legal Action Recovery
- Coordinate with legal counsels for issuance of legal notices, arbitration, cheque bounce cases, SARFAESI actions, and court proceedings.
- Ensure timely filing and tracking of DRT cases, civil suits, police complaints, or criminal proceedings.
- Liaise with law enforcement and judicial authorities for recovery actions and asset repossessions.
- Ensure proper documentation and evidence collection for all legal cases.
- Follow up with legal departments and advocates for closure and decree enforcement.
Compliance Documentation
- Ensure all recovery actions are in compliance with RBI norms, fair practices code, and internal company policies.
- Verify and maintain all customer communication, legal documents, and collection-related records.
- Audit and review agency compliance and adherence to legal norms.
Stakeholder Coordination
- Work closely with the Credit, Risk, Operations, and Legal teams for dispute resolution and account closure strategies.
- Provide inputs on portfolio health and risk trends to senior management.
- Guide junior recovery executives and field officers.
Required Qualifications
- Bachelors degree in Law (LLB), Finance, Commerce, or related field.
- 35 years of relevant experience in collections and legal recovery within BFSI, NBFC, fintech, or retail lending.
- Strong understanding of collections lifecycle, recovery strategy, and regulatory guidelines.
- Experience in handling legal cases under SARFAESI Act, NI Act (Sec 138), Arbitration, DRT, and civil/criminal laws.
- Good command of Excel, legal documentation tools, and collection dashboards.
Preferred Qualifications
- Masters degree or MBA in Finance/Law.
- Certifications in Debt Recovery, Banking Laws, or Credit Risk.
- Experience in managing field recovery teams or third-party agencies.
Soft Skills
- Excellent negotiation and communication skills.
- High attention to detail and problem-solving attitude.
- Strong decision-making and conflict resolution abilities.
- Comfortable working in a target-driven, high-pressure environment.
- Ability to build rapport with stakeholders, lawyers, and customers
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