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.


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