Associate Consultant at CareerNet Technologies
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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.
- 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.