Chief Compliance Officer - FinTech - LLB

Role:

He/ She would be responsible to ensure compliance of all the laws and regulations applicable to the Company and its subsidiaries, advise management and Directors on the matters of corporate governance of the Board and management charter, establish processes to ensure compliance with the relevant regulations and standards; and ensure compliance with regulatory provisions applicable to the Company.

Responsibilities :

- Lead the Secretarial, Legal and Compliance functions of the Company

- Providing legal and related strategic advice regarding the actions and measures necessary to secure/facilitate compliance with the legal matters related to laws, rules & regulations of the geographies the Company operates in

- Advice and implement corporate restructuring, joint ventures, mergers and acquisitions, other critical business transactions

- Represent the organisation before regulatory, compliance and enforcement authorities as required from time to time

- Ensure timely filling of information, forms and returns to Registrar of Companies, Ministry of Corporate Affairs, SEBI LODR compliance, compliance with Stock Exchanges, Depositories, RBI, PFRDA, overseas regulatory bodies, etc.

- Proactive legal support and partnering with business and functions by regular review and collaborative engagement through strong and highly motivated team

- Set up processes, templates, document SOPs and structured training to business on relevant areas

- Deal with key regulatory and other compliance issues relating to existing and new businesses and derisk with the engagement of senior management

- Set up, establish and run compliance programs through robust systems and processes to enhance efficiency, control and monitoring

- Partner and facilitate in implementing entity level controls viz. Whistle Blower Policy, Fraud
prevention and Code of Conduct

- Keep track of existing laws and changes to laws governing capital markets, SEBI etc. Identify emerging opportunities for the benefit of the organization and advise senior management on new rules and regulations applicable to lines of businesses

- Ensure legal compliance in the organization thereby facilitating good corporate governance and protecting Company's interest in litigation and documentation.

- Work across all internal groups to instill core knowledge/competency on compliance and legal issues.

- Responsible for appearing before various Courts (High Courts) / Tribunals / Regulatory Authorities for resolving critical issues

- Coordinate and work closely with external counsels, wherever necessary, on legal advisory, intellectual property, arbitration, litigation/consumer matters and ensure efficient and effective handling of disputes

- Monitoring of dynamic Indian and global legal environment with increased compliance requirements and business risks posed by the new regulations applicable to the Company and its subsidiaries

Desired profile of the candidate :

- Company Secretary and Law Graduate (LLB) with 12 to 15 years of experience in Secretarial, Legal and Compliance functions preferably in a listed BFSI company in India

- Expertise in liaison work with various regulators /exchanges (SEBI/ NSE/BSE/PFRDA/RBI)

- Excellent secretarial, legal & compliance domain knowledge is a must

- Solution Orientation, Networking and Positive Attitude

- Proven leadership capability to lead the Secretarial, Legal and Compliance team

- Hands on experience in organizing Board and Committee meetings; and dealing with Board of Directors on secretarial and compliance matters

Desired Qualities and Skills :

- Excellent communication skills

- Proven leadership skills

- Transcending functional boundaries

- Good decision-making ability

- Building & leveraging relationships

- Should have the ability to prioritize, think strategically, take initiative and drive results