Head - Legal & Compliance - Financial Services

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We are looking for an experienced Head Legal & Compliance to lead the organization's legal, regulatory, and compliance functions within the financial services domain. The ideal candidate should have extensive experience in litigation management, regulatory compliance, governance, and risk management, with strong knowledge of capital market regulations and financial services operations.

Key Responsibilities:

• Lead the Legal & Compliance function, ensuring adherence to all applicable laws, regulations, and internal governance frameworks.
• Manage litigation, arbitration, and legal proceedings before courts, tribunals, regulatory authorities, and enforcement agencies.
• Provide strategic legal advice to senior leadership on business initiatives, regulatory matters, contracts, and corporate governance.
• Develop, implement, and continuously strengthen the organization's compliance framework, policies, and internal controls.
• Ensure regulatory compliance across Stock Broking, Depository Operations, Portfolio Management Services (PMS), Investment Advisory (IA), Research Analyst (RA), Debt Market, and related financial services.
• Lead regulatory inspections, audits, and interactions with SEBI, Stock Exchanges, Depositories, and other regulatory authorities.
• Monitor changes in laws and regulations, assess business impact, and drive timely implementation of compliance requirements.
• Review and approve legal documentation, contracts, new products, business processes, and strategic initiatives from a legal and regulatory perspective.
• Identify compliance risks, implement corrective actions, and ensure timely closure of audit and inspection observations.
• Establish governance frameworks that promote proactive risk management and regulatory compliance across the organization.
• Lead, mentor, and develop the legal and compliance team while fostering a culture of integrity, accountability, and ethical conduct.

Required Skills:

• 12-18 years of experience in Legal & Compliance within Capital Markets, Broking, Financial Services, Asset Management, NBFCs, or Banking.
• Strong knowledge of regulations governing SEBI, Stock Exchanges, Depositories, PMS, Investment Advisory, Research Analyst, and Debt Market operations.
• Proven experience managing litigation, arbitration, regulatory inspections, and legal proceedings.
• Expertise in corporate governance, regulatory compliance, contract management, and enterprise risk management.
• Strong understanding of regulatory audits, internal controls, and compliance monitoring.
• Experience supporting new product launches, business expansion initiatives, and regulatory approvals.
• Excellent stakeholder management, negotiation, analytical, and decision-making skills.
• Strong leadership experience managing legal and compliance teams.

Education (Mandatory):

• Bachelor's Degree in Law (LL.B.) is mandatory.
• LL.M., Company Secretary (CS), or additional qualifications in Corporate Law or Compliance are preferred.

Ideal Salary Range (India):