Head - Legal Compliance & Operations - Financial Services

Position Overview:

- We are looking for a self-motivated, smart, detail-oriented and highly organised individual to support its Operations department as a Legal compliance . This is a position for someone seeking to work in compliance and regulatory.

- The successful candidate will be expected to provide significant support to the Operations team in streamlining current practices and identifying innovative solutions to the compliance requirements of the India office. It is expected that this individual would be willing to manage routine processes to ensure 100% compliance of all office on all regulatory requirements and vetting the documents from the legal point of view.

Responsibilities : 

- Establish and continuously improve a consistent compliance framework for the identification, management, monitoring and reporting of Compliance risks and issues.

- Monitor the compliance at 3 levels, Program, Offices and Organization level

- Understanding of Regulatory laws, regulatory strategies, Trust (NGO) laws (FCRA), Company law (FIMA, FDI etc), shops & establishment (Compliance - bonus, wage, attendance, fire drill, IT, display requirements etc). Knowledge and experience of best practice compliance and governance frameworks, methodologies and emerging practice, compliance monitoring.

- Drafting and vetting of MOA, MOU, Bank guarantee, Indemnity Bonds if any, Undertakings and authority letters, vendor contracts, donor contracts, framing disclaimers in our contracts, etc. Vetting, consultation and coordination with the panel of lawyers to ensure documents are legally sound.

- File appropriate compliance reports with regulatory agencies. Conduct or direct the internal investigation of compliance issues. Identify compliance issues that require follow-up or investigation.

- Report violations of compliance or regulatory standards to duly authorised enforcement agencies as appropriate or required.

- Liaison with relevant legal department of Partners/Government offices and other authorities. Visit to Authorities for documentation, follow up and keeping the record of the same.

- Maintain regulatory or compliance documentation, determine operational compliance with regulations or standards. Communicate with government agencies. Conduct financial or regulatory audits.

Candidate Description -

Qualifications & Requirements: 

- Qualified B.Com, LLB & CS with knowledge of ROC compliances or CA as a desirable qualification. Sound understanding of laws and statutory regulations pertaining to company/trust, compliance management, regulatory is a must.

- At least 8-15 years full-time work experience in a legal position or managing the legal and statutory compliance of a big organization.

- Comfortable working in a fast-paced, multi-cultural, global workplace

- Adaptable and flexible to shifting opportunities, priorities and needs. Should be able to deal with high levels of ambiguity and work with team members to find practical solutions.

Soft Skills : 

- The candidate should have leadership skill in managing the team and presenting the information and updates in the board and other meetings.

- The candidate should be an extrovert with excellent inter-personal relations and strong communications and writing skills.

- Candidate needs to have good attention to detail with a sense of urgency

- Candidate should have natural curiosity and research abilities.

- Candidate should have worked in an organization with more than 50 employees.