Mumbai Maharashtra Investment principal Jobs – 101 Open Jobs Today

Senior Manager- Legal & Compliance
Kodo Technologies —Mumbai, Maharashtra
- Full-time
- Leadership
Sr. Infrastructure Operations & Services
Nomura —Mumbai, Maharashtra
- Windows
- Project management
- Scripting
5d
FX Confirmations & Settlements, Senior Associate
State Street —Mumbai, Maharashtra
- Full-time
- Microsoft Access
- Finance
- Master's degree
Business Management
Nomura —Mumbai, Maharashtra
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Associate - Venture Capital
Artha Venture Fund —Lower Parel, Mumbai, Maharashtra
- ₹3,25,000 a year
- Master's degree
- MBA
Director
Barclays —Mumbai, Maharashtra
- Research
- Analysis skills
Operations Manager – Wealth Management (Insurance and Investments)
Pratham Services Fincorp LLP —Mulund, Mumbai, Maharashtra
- ₹30,000 - ₹60,000 a month
- Full-time
- Team management
- Accounting
- In-person
- Paid time off
- Cell phone reimbursement
Quick apply
13d
Analyst, Investor Services
Ares Management —Mumbai, Maharashtra
- Full-time
- Microsoft Powerpoint
- Microsoft Excel
- Customer service
Lead Risk & Control Analyst
Nomura —Mumbai, Maharashtra
- Communication skills
Corporate Banking Manager
HSBC Global Services Limited —Mumbai, Maharashtra
- Full-time
- Finance
- Business development
- Computer networking
11d
OPS-GLOP / Loan Ops
Nomura —Mumbai, Maharashtra
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Senior Principal Associate – Legal
Aritra Partners —Mumbai, Maharashtra
- Full-time
- Leadership
Finance Manager
Thema Corporate Services Llp —Chakala, Mumbai, Maharashtra
- ₹50,000 - ₹70,000 a month
- Full-time
- Finance
- Master's degree
- Accounting
Quick apply
6d
Analyst, RFP Writer
Ares Management —Mumbai, Maharashtra
- Full-time
- Salesforce
- Microsoft Office
- Project management
Clearing and Settlements Processor - Apprentice (12 Months)
HSBC Global Services Limited —Mumbai, Maharashtra
- Full-time
- English
- Master's degree
- Analysis skills
14d
Manager - Client Services
HSBC Global Services Limited —Mumbai, Maharashtra
- Full-time
- Bachelor's degree
13d
Pursuit & Proposals Marketing Specialist
Gensler —Mumbai, Maharashtra
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Health insurance
Network Specialist
Link Group —Mumbai, Maharashtra
- Azure
- Bachelor's degree
- Scripting
AVP/VP
Singhi Advisors —Mumbai, Maharashtra
- Finance
- Master's degree
- Business development
Java Developer - Vice President - Software Engineering
Morgan Stanley —Mumbai, Maharashtra
- Full-time
- Computer Science
- B.Sc
- DevOps
20h

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Senior Manager- Legal & Compliance

Kodo Technologies
Mumbai, Maharashtra

Apply Now

Job details

Full-time

Qualifications

Regulatory reporting
Leadership

Full 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.

Apply Now

Refine Your Search

investment principal jobs in mumbai maharashtra

Senior Manager- Legal & Compliance

Sr. Infrastructure Operations & Services

FX Confirmations & Settlements, Senior Associate

Business Management

Associate - Venture Capital

Director

Operations Manager – Wealth Management (Insurance and Investments)

Analyst, Investor Services

Lead Risk & Control Analyst

Corporate Banking Manager

OPS-GLOP / Loan Ops

Senior Principal Associate – Legal

Finance Manager

Analyst, RFP Writer

Clearing and Settlements Processor - Apprentice (12 Months)

Manager - Client Services

Pursuit & Proposals Marketing Specialist

Network Specialist

AVP/VP

Java Developer - Vice President - Software Engineering

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