Legal and Compliance Office- Collections

7 days ago

Mumbai, Maharashtra, India Yubi Full time

Job Information:

Company

Yubi
Industry

Financial Services
City

Mumbai
State/Province

Maharashtra
Country

India
Zip/Postal Code

400051

About us:

Yubi stands for ubiquitous. But Yubi will also stand for transparency, collaboration, and the power of possibility.

From being a disruptor in India's debt market to marching towards global corporate markets from one product to one holistic product suite with seven products

Yubi is the place to unleash potential. Freedom, not fear. Avenues, not roadblocks. Opportunity, not obstacles.

**Job Title: Legal and Compliance Office

  • Collections**Overview:We are seeking a skilled and detailoriented Legal and Compliance Officer to join our innovative FinTech company. As the Legal and Compliance Officer, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards governing the financial services sector. You will also provide legal guidance and support to various departments within the organization to mitigate legal risks and ensure ethical business practices.

Responsibilities:

Regulatory

Compliance:

Monitor and interpret relevant laws, regulations, directives, and guidelines issued by regulatory authorities (e.g., SEC, CFTC, FINRA, FDIC, OCC) pertaining to the FinTech industry.

Assess the impact of regulatory changes on our business operations and implement compliance measures accordingly.

Compliance Program:

Develop, implement, and maintain a comprehensive compliance program that encompasses policies, procedures, controls, and training initiatives to ensure adherence to applicable laws and regulations.

Conduct periodic compliance assessments, audits, and reviews to evaluate the effectiveness of the compliance program.

Licensing and Registration:

Manage the process of obtaining and maintaining necessary licenses, permits, registrations, and approvals required for our FinTech products and services.

Liaise with regulatory agencies and authorities to ensure timely and accurate filings.

Anti-Money Laundering (AML) and Know Your Customer (KYC)

Compliance:
Oversee AML and KYC compliance efforts to prevent money laundering, terrorist financing, and fraudulent activities. Develop and implement AML/KYC policies, procedures, and controls. Conduct due diligence on customers and counterparties in accordance with regulatory requirements.

Data Privacy and Security:
Ensure compliance with data privacy and security laws and regulations, such as GDPR, CCPA, and HIPAA, as applicable. Develop and implement data protection policies, procedures, and practices to safeguard customer information and sensitive data.

Contract Review and Negotiation:

Review, draft, and negotiate contracts, agreements, and legal documents related to our business activities, including customer agreements, vendor contracts, partnership agreements, and employment contracts.

Ensure that contractual terms comply with legal requirements and protect the company's interests.

Legal Risk Management:
Identify, assess, and mitigate legal risks and exposures arising from business activities, transactions, and operations. Provide legal guidance and support to internal stakeholders on legal issues, contractual matters, and risk management strategies.

Corporate Governance:
Ensure compliance with corporate governance principles, regulations, and best practices. Support corporate governance initiatives, including board meetings, shareholder communications, and corporate filings.

Litigation and Dispute Resolution:
Manage legal disputes, claims, and litigation matters involving the company. Coordinate with external legal counsel as needed to represent the company's interests and achieve favorable outcomes.

Training and Education:
Provide training and education to employees on legal and compliance matters, regulatory requirements, and ethical standards. Promote a culture of compliance and integrity throughout the organization.

Regulatory Reporting:
Prepare and submit regulatory reports, disclosures, and filings as required by regulatory authorities. Ensure accuracy, completeness, and timeliness of regulatory reporting obligations.

Stakeholder Engagement:

Build and maintain relationships with regulatory agencies, legal counsel, industry associations, and other stakeholders to stay informed about legal and regulatory developments, share best practices, and advocate for the company's interests.


Qualifications:

  • Bachelor's degree in law, business, finance, or related field. Juris Doctor (JD) degree and admission to the bar preferred.
  • X years of experience in legal and compliance roles within the financial services industry, with specific experience in FinTech preferred.
  • Indepth knowledge of financial regulations, compliance requirements, and industry standards relevant to FinTech, such as securities laws, banking regulations, consumer protection laws, and payment regulations.
  • Strong und

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