Associate Manager/Director - Legal & Compliance - Banking/NBFC/Wealth Management/AMC

Legal and compliance :

- Provide Legal Support to the India Legal Team and to internal teams including Sales, Product, Lending in handling external matters, disputes etc. with legal approach.

- Drafting, vetting, reviewing, negotiating, a wide range of contracts, agreements, letters and documents and provide inputs on various commercial and financial terms, risks and obligations before execution of the documentation

- Providing legal and strategic advice on new business projects & identifying potential legal and regulatory risks

- Providing legal, regulatory advice and support to various licenses like Stockbroking, Portfolio management, Investment Advisory, Mutual Fund Distributor, Depository Participant & non-banking finance divisions

- Interpreting, monitoring & advising on circulars, addendums, key regulatory, legal and market developments with potential impacts on the various business

- Advising business on legal with local laws and regulations, FEMA

- Analyse and propose solutions to complex business problems.

- Maintaining relationships and liaison with key partner, law firms, regulators, auditors, etc.

- Coordinating with law firms on regular basis for any existing and potential litigation issues timely invoicing; vendor onboarding and lawyer engagement formalities.

- Providing support in regulatory and other internal compliances related to Broking, PMS, AIF, NBFC Regulations

Criteria :

Qualification: Bachelor's or Master's degree in Law

Should have both Legal and compliance experience

Minimum 8 - 10 years of experience

Excellent drafting ability

Relevant legal experience in financial industry, preferably wealth management, private banking, Broking, PMS and NBFC regulations

Working knowledge of and familiarity

Only from Banking, NBFC, Wealth Management or from AMC

Only local candidates preferred