Senior Compliance Manager – FinTech – LLB (4-9 yrs)
Role will report to AD-Legal
– Experience in working at, or advising companies in, the financial services industry, particularly stock broking, mutual funds, lending and payment gateways.
– Competence in handling compliances mandated by SEBI, RBI, IRDA, and labour authorities.
– Ability to independently draft and set internal governance policies.
– Evaluate and weigh multiple inputs and impacts of any decision, ability to anticipate issues and estimate risks strategically, identify proactive solutions that will eliminate or mitigate risks.
– Draft and review legal documents and policies for various business lines including fin-tech, stockbroking, lending, payments, mutual funds, insurance, and technology, based on relevant guidelines and applicable law.
– Identifying legal issues and risks that may affect the various businesses and ensuring compliances related thereto.
– Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
– Evaluate the efficiency of controls and improve them continuously
– Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
– Draft, modify and implement company policies
– Collaborate with corporate counsels and HR departments to monitor enforcement of standards and regulations
– Assess the business’s future ventures to identify possible compliance risks.
Requirements :
– LL.B.
– 5 – 8 years of experience both at a law firm and in-house.
– Experience in the financial services sector, stockbroking and mutual fund company, especially in payments industry is highly preferred.
– Overall experience strictly between 5-8 years.
– Have strong communication and influencing skills.
– In-depth understanding of how legal issues affect organizations.
– Ability to develop legal strategy and objectives, excellent knowledge and understanding of the regulatory regime and procedures.
– Ability to anticipate legal issues or risks and to – see around the corner.
