Head of Legal & Compliance

Role and Responsibilties:

Legal Advisory & Corporate Governance

• Serve as the principal legal advisor to the Board of Directors, senior management, and business teams on legal, regulatory, governance, and strategic matters.


• Ensure compliance with the Companies Act, RBI regulations, FEMA, labour laws, contract laws, data privacy laws, and other applicable statutory requirements.


• Develop, implement, and maintain legal, compliance, governance, and risk management frameworks across the organization.


• Drive corporate governance initiatives and advise the Board on governance best practices.


• Oversee all corporate secretarial functions, including statutory registers, filings, board resolutions, annual filings, and regulatory submissions.


• Plan and manage Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs), including agenda preparation, board papers, minutes, and statutory documentation.

Contract Management

• Draft, review, negotiate, and finalize commercial contracts, customer agreements, vendor agreements, partnership agreements, confidentiality agreements, technology agreements, employment contracts, and other legal documentation.


• Ensure all contracts adequately protect the Company's commercial, legal, operational, and financial interests.


• Standardize legal documentation and maintain contract governance across the organization.

Regulatory Compliance

• Develop and oversee the Company's enterprise-wide compliance framework.


• Ensure ongoing compliance with RBI regulations, NBFC regulatory requirements, AML/KYC/CFT guidelines, data protection laws, outsourcing guidelines, digital lending regulations, and other applicable regulatory frameworks.


• Monitor regulatory developments and ensure timely implementation of new legal and compliance requirements.


• Manage regulatory reporting, statutory filings, inspections, and correspondence with regulators.

Treasury, Investment & Wealth Management Compliance

• Provide legal and regulatory oversight for treasury operations, investment products, mutual fund distribution, and wealth management businesses.


• Ensure compliance with applicable RBI, SEBI, AMFI, and other regulatory requirements governing investment and financial products.


• Review legal documentation relating to treasury transactions, investment products, distribution agreements, customer disclosures, and strategic partnerships.


• Support the launch of new treasury, investment, and wealth management products by ensuring legal and regulatory compliance.


• Liaise with Asset Management Companies (AMCs), trustees, custodians, banking partners, regulators, and external legal advisors on legal and compliance matters.


• Ensure compliance with Mutual Fund Distributor (MFD) regulations, AMFI guidelines, ARN requirements, distributor code of conduct, and investor protection norms.

Risk Management

• Identify legal, regulatory, contractual, operational, financial, and reputational risks affecting the business.


• Develop mitigation strategies and compliance controls to minimize organizational risk exposure.


• Conduct compliance reviews, legal risk assessments, and internal audits.


• Investigate legal and compliance breaches and recommend corrective actions.

Litigation & Dispute Resolution

• Manage litigation, arbitration, consumer disputes, recovery matters, employment disputes, and regulatory proceedings.


• Coordinate with external legal counsel and oversee case strategy and legal documentation.


• Respond to legal notices, regulatory inquiries, and government investigations.

Stakeholder & Regulatory Management

• Build and maintain effective relationships with RBI, SEBI, RoC, AMFI, auditors, external legal counsel, investors, government authorities, and other regulatory bodies.


• Represent the Company before regulators, government agencies, and external stakeholders whenever required.

Compliance Culture & Training

• Develop and implement legal and compliance policies, SOPs, and governance frameworks.


• Conduct compliance awareness and regulatory training programs for employees.


• Promote a culture of ethics, integrity, governance, and regulatory compliance throughout the organization.

Strategic Business Support

• Partner with Product, Treasury, Finance, Technology, Risk, HR, and Business teams to provide legal support for new products, strategic initiatives, partnerships, and commercial transactions.


• Review business proposals, marketing material, customer communication, and investment disclosures from a legal and regulatory perspective.


• Highlight legal, regulatory, financial, and commercial risks that could impact the Company's revenue, operations, or reputation.

Team Leadership

• Lead, mentor, and develop the Legal & Compliance team.


• Drive process improvements, automation, and operational excellence within the legal and compliance function.


• Establish performance standards and ensure timely delivery of legal and compliance objectives.