Wint Wealth - Assistant Manager - Legal - CS

Established in 2020, Wint Wealth is one of India's largest online bond platforms, trusted by over 70,000+ investors. With retail investments exceeding Rs. 2000 crore, we continue to empower retail investors through accessible and secure bond investments. We are an online bond platform provider (OBPP) registered with SEBI as a debt broker. We are also a depository participant registered with SEBI.

Wint Wealth also operates its own NBFC, Wint Capital, with a current AUM of Rs. 200+ crore and an investment-grade rating from CARE. The company has successfully raised approximately Rs.150 crore from notable investors, including Eight Roads, Rainmatter (Zerodha), 3one4 Capital, and Arkam Ventures.

Location :

Join us in our Bengaluru office!

About the Role :

Wint Wealth is looking for a passionate legal and secretarial professional who does not merely want to provide legal advice and support but help in executing strategy and being a part of the growth journey of Wint. If you are somebody who finds that mere documentation and closings are not something which satisfies you and want to be part of the implementation of your reading of the law in the real world and see tangible impacts of your efforts, this is the opportunity for you.

Brownie points if you have a passion for finance! You need not be a finance guru, and can possibly have limited knowledge, but if finance interests you we would like to chat with you.

As a highly motivated and dynamic individual, you will be positioned as an Assistant Manager - Legal in our group companies. You will be exposed to various legal, secretarial and compliance work, for the Wint Wealth group and work with the team (team of three others including another CS who is the compliance officer at the NBFC level). Join us in making fixed income securities accessible and comprehensible for all.

Responsibilities :

1. Regulatory Compliance and Regulatory Interactions : We are a newly regulated organisation building India's first of its kind fixed income asset destination for mass affluent investors. The journey will involve navigating the regulatory landscape and entail frequent engagements with regulators (RBI, SEBI and MCA) including answering their queries and charting out business design.

2. Internal Controls : Part of the regulatory compliance will also include review and vetting of website content, marketing communication and any other channels including blogs to ensure the content does not breach any regulatory requirements. Independently drive internal review and vetting processes.

3. Stakeholder Management and Strategy Execution : The ideal candidate shall be able and willing to coordinate with stakeholders across functions and ensure effective execution of any regulatory changes and amendments to the organisation, be it content, processes or even thought processes.

4. Research and Training : Skilled in researching relevant topics and issues along with the CCO and ensuring that the organisation is always on top of any regulatory development which impacts the organisation.

5. Legal Documentation : The organisation frequently will be entering into various contracts with vendors, security issuers, influencers and other partners. The candidate shall assist in designing a framework to ensure the organisation does not enter into contracts detrimental to its interests.

6. Secretarial Functions :

• Prepare notices, agendas, and papers for board meetings, committees, and general meetings and arrange for the meetings.
• Prepare minutes and follow up on action points suggested by Board / Committee members in the meetings.
• Responsible for the efficient administration of a company, particularly with regard to ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the board of directors are implemente-
• Drafting of regulatory policies, charters as applicable on the company, from time to tim-
• Tracking of regulatory updates and implementation of relevant statutory amendments.
• Timely filing of forms / returns, registering any document by and on behalf of the company.
• Maintenance of secretarial records, statutory books and registers.
• Compliance with respect to issue and transfer of securities. .
• Regulatory correspondence, drafting letters to regulators on a requirement basis, if any.
• Assist in preparing Annual Return documents, Board's Report, et-

Who You Are : 1. Education :

2. Experience :

3. Technical Proficiency :

4. Personal Mastery :

If you find this interesting, let's talk;

(ref : iimjobs.com)