Cochin Stock Brokers invites applications for the following post:

Transcription

1 Cochin Stock Brokers invites applications for the following post: 1. Legal and Compliance Officer 2. Trainees JOB DESCRIPTION FOR LEGAL & COMPLIANCE OFFICER. 1. Job Title: Officer - Legal and Compliance 1.1 Department: Legal and Compliance. 1.2 Location: 36/1565 -A 17, 4th Floor, M E S Building, Judges Avenue, Kaloor, Kochi The main purpose of this job. (A) To ensure total compliance of all applicable regulations by the Company and its Associates (C&A) (B) To provide legal services to C&A. (C) Reporting Line: The person shall report to General Manager. 3. Required Qualifications, Skills and Other Traits. 3.A.1. Graduation in Law from any of the recognised Universities in India. 3.A.2. Ability to read, write and speak English & Malayalam with ease. 3.A.3. Good analytical, research, writing, problem-solving skills. 3.A.4. Good interpersonal relation skills. 3.A.5. Must challenge self as much as others and set ambitious goals which others are inspired to achieve. 3.A.6. Must have a passion for education and a pronounced sense of urgency. 3.A.7. Must be a team player and possess excellent communication skills. 3.A.8. Experience in Compliance work will be an advantage.

2 3.A.9. Experience in general corporate practice will be an advantage. 3.A.10.Knowledge of accounts will be an added advantage. 3.B.1. While not expected to be an expert, the candidate must be a quick learner, must work hard and should always look forward to improve his skill sets especially those listed above. 3.B.2. C&A proposes to train the selected candidate/s in Compliance assurance of applicable regulations. Help from external experts can also be expected 4. Responsibilities and key activities 4.A. The Legal Officer will be involved in all aspects of the work of C&A. Below are a nonexhaustive list of areas and expected duties. It should be possible to realistically understand the associated, related areas from the list below. 4.B. The Legal Officer may from time to time be assigned work outside of these areas. 4.C. The legal Officer, whilst not expected to be an expert in these areas should be able to learn them quickly and keep himself updated with the changes as it happens. 4.1 Statute, Ordinances, Rules, Regulations, Circulars and Instructions. 1. The Legal Officer will keep abreast of; (a) all applicable laws, regulations and rules and circulars (Regulations) issued by the regulators under whom the Company is operating, and (b) all instructions by the Board of Directors and also empowered Committees constituted by them (Instructions). 2. He will draft all necessary instructions to members of staff, Sub brokers, Authorised Persons Clients and counterparties to business dealings (Regulatees) to ensure informed and proactive compliance of all applicable Regulations and Instructions. 3. The Legal Officer will follow-up the compliance by all Regulatees through a clearly defined Compliance Information System (CIS). Since;

3 (i) Regulations and Instructions do change regularly and (ii) IT systems are improving at fast pace. C.1 The existing follow-up systems and CIS also should be upgraded similarly. 1. Preparation of updates to the management in relation to the frequent amendments of Regulations Litigation. A. This involves the management of cases concerning C&A in liaison with external lawyers as instructed by the respective managements. A1. Duties include; 1. preparation of briefs and evidentiary documents, preparation of witnesses for pre-trial and hearing and 2. preparation of updates to the management in relation to the frequent amendments of statutes and Regulations Staff Matters and Disciplinary Process: Legal and Compliance Department is responsible to advise Management of C&A to define the Terms of Service offered to staff members in a fair and equitable manner and ensure that all members of staff are aware of the same. The legal office is responsible for drafting employee contracts and compliance of legal requirements relating to employees. This must be done ensuring steady improvement of skill sets of employees and their productivity notwithstanding commensurate salary and other benefits to them. The legal Officer shall, as the Companies Counsel directs from time to time, provide advice on Staff disciplinary matters. The Legal Office is of paramount significance in enforcing discipline among the staff and trainees.

4 4.4. Collaborations: The Legal Unit is actively involved in formulation and guidance on preparation of documents such as Memorandum of Understanding, Collaboration Agreements Proposals and like documents. The Legal Officer is expected to peruse with great alacrity and skill having regard to the objects of the C&A, make amendments/corrections as necessary to meet standards for execution Maintaining Confidentiality. C&A is engaged in handling assets of its constituents who are individuals and corporations. All and any information on the constituents and their dealings must be kept strictly confidential and must not be divulged to others. Exception to this rule is specific demands from regulators and Government Agencies Record Keeping Legal and Compliance Department is responsible for safe keeping and maintenance of certain instruments, documents as well as general and personnel files (Records). Record shall be appropriately identified before being stored in suitable locations, which allow for confidentiality, normal protection from deterioration or damage and from where they can be easily retrieved. Some of the Records require updation, renewal and other steps of maintenance within defined time frame. Legal and Compliance Department is responsible for the same. 5. Salary - Negotiable as per qualification and experience Application should be sent by within 7 days from the date of this advertisement specifying the expected salary in confidence to: The Chairman, Board of Directors, Cochin Stock Brokers Limited, 36/1565, 4th Floor, MES Complex, Judges Avenue, Kaloor, Kochi Ph: , csbllegal@csbl.co.in ===============================================================

5 JOB DESCRIPTION FOR TRAINEES 1.1 Job Title : Trainees 1.2 Departments : D.P. / Settlement/ Accounts / IT/Network 1.3 Location : 36/1565 -A 17, 4th Floor, M E S Building, Judges Avenue, Kaloor, Kochi Objective of the post of Trainee (a) Assist the Senior Officials of the Section (b) Carry out instruction in a time bound manner (c) Developing knowledge base by interacting with the Senior Officials (d) Independant handling of the requirements in consultation with the Senior Officials. (e) Establishing effective communication talents with the clients. 1.5 Required Qualifications: Graduates preferably in commerce with certification in courses on Capital Market Required Skills: Computer proficiency with knowledge of microsoft office, communication and interpersonal skill to assist the different parts of the organisation. 1.7 Experience: One year experience in a Stock Broking Company will be an advantage 1.8 Language Skills: Must be able to communicate and correspond in English and Malayalam with ease.

6 1.9 Stipend during the training period: Rs.5,000/- per month 2.0 Duration: One year Successful candidates may be absorbed by the Company at its sole discretion. Application should be sent by within 7 days from the date of this advertisement specifying the expected salary in confidence to: The Chairman, Board of Directors, Cochin Stock Brokers Limited, 36/1565, 4th Floor, MES Complex, Judges Avenue, Kaloor, Kochi Ph: , csbllegal@csbl.co.in ===============================================================