Chief Compliance Officer - General Counsel - Financial Services

Role Overview:

The position is with Financial Services and they are looking for a Chief Compliance Officer and General Counsel based in Mumbai.

Regulatory Liaison & Advocacy:

• Lead engagement with regulators (RBI, SEBI, MoF, CERC, NHAI, etc.)
• Manage regulatory submissions, inspections, and approvals.
• Drive advocacy on regulatory matters to support business growth.

Compliance Oversight:

• Ensure zero regulatory breaches, penalties, or compliance misses.
• Guide departments on regulatory, legal, and policy compliance.
• Drive closure of audit/RBI inspection observations with minimal gaps.
• Lead investigation and remediation of compliance issues.

Legal Advisory & Governance:

• Advise business and management on regulatory, legal, and contractual matters.
• Ensure adherence to obligations under all agreements (clients/vendors).
• Support Board/CEO with timely regulatory and legal inputs.

Documentation & Transaction Support:

• Ensure quality, consistency, and TAT of project finance documentation (60-70 deals).
• Strengthen legal due diligence and documentation standards.
• Develop legal SOPs and guardrails across sectors.

External Counsel & Cost Management:

• Manage law firm relationships and optimize legal costs.
• Minimize external counsel usage where internal capability exists.

Capability Building & Governance:

• Build sectoral legal expertise (power, telecom, etc.).
• Strengthen use of compliance/legal tools and processes.
• Contribute to policies, frameworks, and governance mechanisms.

Team Leadership:

• Support hiring, mentoring, and retention of key talent.
• Build a strong compliance-driven culture.