Head - Legal - Financial Services - LLB/LLM

Job Title: Head - Legal & Company Secretarial
Location: Chennai / Mumbai
Industry: Broking
Reporting To: Chief Financial Officer
Role Objective:
To lead the legal function ensuring robust governance, regulatory compliance, and strategic legal support for business operations, product initiatives, and investment decisions. The role is instrumental in fostering a transparent and risk-aware culture across the organization.
Key Responsibilities:
Legal Leadership & Advisory
- Provide expert legal guidance on business operations, regulatory matters, and risk mitigation strategies.
- Draft, review, and negotiate contracts, agreements, and legal documentation across departments.
- Lead and manage litigation, arbitration, and dispute resolution processes.
- Guide the legal team in representing the organization before courts, tribunals, regulatory bodies, police authorities, and other forums.

- Ensure timely resolution of legal matters with minimal or no adverse impact to the company.
Product & Investment Legal Enablement
- Facilitate legal sign-off for all new product offerings, process changes, and investment initiatives.
- Advise on legal structures and covenants that safeguard and promote business interests.
- Collaborate with business and product teams to ensure legal alignment with strategic goals.
Governance & Risk Oversight
- Implement a governance framework that fosters a "No Surprises" culture through proactive identification and review of top organizational risks.
- Update management on evolving judicial trends, legislative proposals, and policy changes.
- Collaborate with the corporate legal cell to revise internal policies and processes accordingly.
Company Secretarial Functions
- Plan and manage board and committee meetings, including agenda preparation, minutes, and resolutions.
- Ensure timely statutory filings and maintenance of company records in compliance with the Companies Act and other applicable laws.
- Advise the Board on corporate governance, regulatory obligations, and shareholder matters.
- Maintain statutory registers and ensure compliance with MCA and other regulatory authorities.
- Act as a key advisor to the Board on governance, ethics, and regulatory matters.
Qualifications & Experience:
- Education: LLB / LLM and Company Secretary (ACS/FCS)
- Experience: 12-15 years in legal and secretarial roles in a listed company.
- Preferred Background: Senior-level experience in the financial services industry.
Key Competencies:
- In-depth knowledge of SEBI LODR, NSE/BSE Listing Agreements, Depository regulations, and Companies Act.
- Strong legal drafting, negotiation, and litigation management skills.
- High ethical standards, strategic thinking, and decision-making ability.
- Excellent communication and stakeholder engagement skills.
- Proven leadership in managing legal and secretarial teams.