Legal Assistant

Job Title: Legal Assistant – Back Office & Compliance

Job Summary

The Legal Assistant will support the legal, compliance, and back-office operations of the stock broking company. The role involves ensuring regulatory compliance, maintaining client documentation, assisting in legal matters, and supporting day-to-day operational activities as per stock exchange and regulatory guidelines.

Key Responsibilities

1. Legal Support

Assist in drafting, reviewing, and maintaining legal documents, agreements, and notices.

Coordinate with legal advisors regarding regulatory or client-related matters.

Maintain records of legal cases, notices, and correspondence related to clients or regulatory bodies.

Ensure proper documentation for dispute resolution and arbitration matters.

2. Compliance Management

Ensure adherence to regulatory requirements of SEBI, NSE, BSE, and other regulatory authorities.

Assist in maintaining compliance records, reports, and regulatory filings.

Monitor internal processes to ensure compliance with company policies and legal guidelines.

Support compliance audits and regulatory inspections.

3. Client Documentation & KYC

Verify and maintain KYC documents, client agreements, and account opening forms.

Ensure proper documentation as per regulatory norms.

Maintain secure and organized records of all client documents.

4. Back Office Operations

Assist in maintaining client data, transaction records, and account-related documentation.

Coordinate with dealers, relationship managers, and other departments for smooth operational workflow.

Handle documentation related to client onboarding, modifications, and closures.

5. Reporting & Record Keeping

Maintain accurate records of compliance activities and legal documentation.

Prepare reports related to compliance, documentation, and operational activities.

Ensure proper filing and storage of physical and digital records.

6. Communication & Coordination

Communicate with internal departments regarding compliance requirements and documentation.

Assist in responding to regulatory queries and client-related documentation issues.

Coordinate with exchanges, compliance officers, and legal teams when required.

Required Skills

• Knowledge of SEBI regulations and stock market compliance procedures
• Understanding of client documentation and KYC process
• Strong documentation and record-keeping skills
• Good communication and coordination abilities
• Attention to detail and compliance awareness

Qualification:

Bachelor’s Degree in Law, Commerce, or related field

Basic knowledge of stock broking operations and regulatory framework is preferred

Experience

0–3 years of experience in legal, compliance, or back-office operations in a stock broking or financial services company.

Preference:

Law candidates Preferred