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.
