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05/05 Anup Nag
Associate Consultant at CareerNet Technologies

Views:258 Applications:64 Rec. Actions:Recruiter Actions:9

Senior Compliance Manager - FinTech - LLB (4-9 yrs)

Bangalore Job Code: 921504

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.

Women-friendly workplace:

Maternity and Paternity Benefits

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