Head - Legal/Compliance & Secretarial - Financial Firm

Head- Legal, Compliance & Secretarial

Mumbai

With a Large Financial Group

Key Features of the Role:

- Advise the business on all legal, regulatory issues and risks

- Oversee the Corporate Secretarial compliance of Legal entities (with the support of an experienced Corporate secretary reporting to this role)

- Develop and update the Bank's standard legal forms

- Provide advice for all queries related to legal documentation and contracting matters

- Retaining and managing external counsels

- Define and implement Legal policies for India

- Consolidate legal risks within an overall risk framework

- Ensure coordination of Legal group with other risk functions of JB India

Skills Requirements of the Role

A. Personal and Social

- Excellent interpersonal skills

- Excellent oral and written communication skills

- A team player approach to achieve shared business goals

- Self-driven and able to adapt to fast paced and dynamic

B. Professional and Technical

- Must be Indian qualified lawyer( LLB Degree) and well grounded in principles of common law.

- Corporate Secretary qualification preferred

- 12+ years of experience in the capital markets/ corporate and/or banking practice. Experience in a Broking business is a must; Wealth Management preferred

- Fair knowledge of SEBI regulations with emphasis on Broking and DP regulations

- Must have the ability to evaluate and advise senior leadership and management on legal matters.

- Should have experience in dealing with law firms, contacts with law firms specializing in Capital markets and a sense of the pricing for their services

- Function well in a collaborative team environment.

- Should be able to communicate clearly and persuasively, both verbally and in writing, and to adapt to a variety of audiences

- Strong analytical skills, ability to assess the full scope of a problem

- Will assist and advise LOB clients on regulatory and licensing issues, advice on issues of market, transactional and reputational risk

Reporting Lines

CEO