Head of Legal & Compliance

Job description

**Role And Responsibilties** Legal Advisory & Corporate Governance - Serve as the principal legal advisor to the Board of Directors, senior management, and business teams on legal, regulatory, governance, and strategic matters. - Ensure compliance with the Companies Act, RBI regulations, FEMA, labour laws, contract laws, data privacy laws, and other applicable statutory requirements. - Develop, implement, and maintain legal, compliance, governance, and risk management frameworks across the organization. - Drive corporate governance initiatives and advise the Board on governance best practices. - Oversee all corporate secretarial functions, including statutory registers, filings, board resolutions, annual filings, and regulatory submissions. - Plan and manage Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs), including agenda preparation, board papers, minutes, and statutory documentation. Contract Management - Draft, review, negotiate, and finalize commercial contracts, customer agreements, vendor agreements, partnership agreements, confidentiality agreements, technology agreements, employment contracts, and other legal documentation. - Ensure all contracts adequately protect the Company's commercial, legal, operational, and financial interests. - Standardize legal documentation and maintain contract governance across the organization. Regulatory Compliance - Develop and oversee the Company's enterprise-wide compliance framework. - Ensure ongoing compliance with RBI regulations, NBFC regulatory requirements, AML/KYC/CFT guidelines, data protection laws, outsourcing guidelines, digital lending regulations, and other applicable regulatory frameworks. - Monitor regulatory developments and ensure timely implementation of new legal and compliance requirements. - Manage regulatory reporting, statutory filings, inspections, and correspondence with regulators. Treasury, Investment & Wealth Management Compliance - Provide legal and regulatory oversight for treasury operations, investment products, mutual fund distribution, and wealth management businesses. - Ensure compliance with applicable RBI, SEBI, AMFI, and other regulatory requirements governing investment and financial products. - Review legal documentation relating to treasury transactions, investment products, distribution agreements, customer disclosures, and strategic partnerships. - Support the launch of new treasury, investment, and wealth management products by ensuring legal and regulatory compliance. - Liaise with Asset Management Companies (AMCs), trustees, custodians, banking partners, regulators, and external legal advisors on legal and compliance matters. - Ensure compliance with Mutual Fund Distributor (MFD) regulations, AMFI guidelines, ARN requirements, distributor code of conduct, and investor protection norms. Risk Management - Identify legal, regulatory, contractual, operational, financial, and reputational risks affecting the business. - Develop mitigation strategies and compliance controls to minimize organizational risk exposure. - Conduct compliance reviews, legal risk assessments, and internal audits. - Investigate legal and compliance breaches and recommend corrective actions. Litigation & Dispute Resolution - Manage litigation, arbitration, consumer disputes, recovery matters, employment disputes, and regulatory proceedings. - Coordinate with external legal counsel and oversee case strategy and legal documentation. - Respond to legal notices, regulatory inquiries, and government investigations. Stakeholder & Regulatory Management - Build and maintain effective relationships with RBI, SEBI, RoC, AMFI, auditors, external legal counsel, investors, government authorities, and other regulatory bodies. - Represent the Company before regulators, government agencies, and external stakeholders whenever required. Compliance Culture & Training - Develop and implement legal and compliance policies, SOPs, and governance frameworks. - Conduct compliance awareness and regulatory training programs for employees. - Promote a culture of ethics, integrity, governance, and regulatory compliance throughout the organization. Strategic Business Support - Partner with Product, Treasury, Finance, Technology, Risk, HR, and Business teams to provide legal support for new products, strategic initiatives, partnerships, and commercial transactions. - Review business proposals, marketing material, customer communication, and investment disclosures from a legal and regulatory perspective. - Highlight legal, regulatory, financial, and commercial risks that could impact the Company's revenue, operations, or reputation. Team Leadership - Lead, mentor, and develop the Legal & Compliance team. - Drive process improvements, automation, and operational excellence within the legal and compliance function. - Establish performance standards and ensure timely delivery of legal and compliance objectives. Skills: regulations,legal,compliance,rbi,sebi