Head of Legal Compliance- Vice President

2 days ago

Mumbai, India National Securities Depository Limited (NSDL) Full time

POSITION:

Senior position in Legal and Compliance at National Securities Depository Limited (NSDL). Responsible for Legal and Compliance management operations of the Company.


Objective of the Role:

The prospective candidate has deep knowledge of the Legal Framework. The Legal department is a specialized department working jointly with the rest of the departments and also interacts with regulators in order to achieve the company's objectives and ensure that the company's activities are in conformity with all Indian laws and regulations and as per regulators guidelines. The role also requires handling the compliance function of the depository including handling regulatory reporting, inspections, and liaising with SEBI and other regulators The role will also oversee secretarial function which is headed by a Company secretary.


Legal and Compliance Insight

The candidate should be able to analyze and identify the legal risks and implications of all of the business’s transactions, keeping the senior management informed of developments in laws and regulations that potentially affect the business. Legal vertical is responsible for all the legal functions in the Company including strategic advisory, structuring, Corporate commercial, contracts and Negotiation, litigation's and regulatory and compliance, as well as implementing initiatives and processes in order to set standards and reinforce a culture of integrity, quality, ethical behavior and responsibility across the business.


Detailed Job Description Legal and Compliance:

Primary Responsibilities

  • To provide legal support to Business and Operational heads at NSDL, such as drafting of documents/ agreements, bye laws, business rules and work with external legal advisors.
  • To provide sound balanced legal advice to depository.
  • To provide guidance and legal support on product developments.
  • To Review and assist in negotiation and approval of contracts.
  • Actively involve in managing litigation and potential litigation and ensure that NSDL interest is protected.
  • To work with functional compliance teams and to drive compliance.
  • To liaise with SEBI Inspection team and control/ manage severity of SEBI Inspection observations on case-to-case basis.
  • To ensure implementation of SEBI advised surveillances measures through interface with Stock exchanges and other depository.


Overall responsibilities

  • Responsible for drafting, reviewing and finalization of all types of legal documents for accuracy and compliance with all the applicable laws, regulations, internal policies & organization objectives.
  • Represents the Company in Corporate level litigations so as to protect the legal interests of the organization
  • Acts as SPOC for legal due diligence concerning the organization.
  • Ensures effective implementation of corporate governance practices to achieve corporate excellence.
  • Provides event based specific information and/or reports to regulators as and when required in acceptance with management.
  • Liaisons with SEBI, other regulators, internal compliances to resolve issues pertaining to Legal and overall company compliances.
  • Overseeing Secretarial and Board presentation and related matters.
  • Creates a time based annual schedule of all compliance requirements to be adhered to and ensures timely and accurate adherence to regulatory compliance requirements.
  • Keeping abreast of constant changes in regulations and dealing with all legal matters
  • Avoids legal challenges by understanding current and proposed legislation; enforcing regulations; recommending new procedures.
  • Ability to analyze legal implications of various issues and advising various internal stakeholders and management on it.
  • Attending Court cases and assisting the counsel in drafting of Written Submissions & Petitions.
  • Prepare monthly and quarterly reports for the legal department for management meetings.
  • Responsible for litigation, legal notices, keep records of all licenses & compliances and all litigation matters.
  • Responsible for arbitration and related matters
  • Knowledge in legal aspects relating to various Labour Laws, Shops and Establishment Legislations, Contract Labour (Regulation and Abolition) Act etc.
  • Having handled an IPO would be an added advantage.



Education and Experience: LLB/LLM from a reputed institute with overall 20 yrs of experience out of which at least 10 yrs has worked in the position of a senior lawyer and has experience in a corporate legal capacity within a fast-paced, fast-evolving and dynamic environment. Qualified Company Secretary will be preferred.


Personal skills will include:

Intellectual rigour and analytical skills

Pragmatic attitude to the handling of risk

Excellent communication (written and oral) and presentation skills

An ability to delegate effectively

Strong organizational skills

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