Chief Compliance Officer/Legal Head

Chief Compliance Officer | questW | Gurugram of Legal & Compliance

Department Legal & Compliance Team

The Head of Legal & Compliance serves as the organizations Chief Compliance Officer, Company Secretary & General Counsel, and is responsible for developing, implementing, maintaining and leading an effective legal and compliance function and corporate governance tailored to the organizations business. The role will work directly with leadership and all departments within the company, serving as counsel on business transactions, drafting and reviewing company agreements, providing day-to-day legal advice, and managing litigations.

In addition, the Head of Legal & Compliance is responsible for developing and implementing compliance controls including but not limited to evaluating compliance issues and concerns affecting the company to ensure adherence to applicable laws and regulations and overseeing the testing and monitoring of compliance controls function. The Head of Legal and Compliance will manage across functional team responsible for legal affairs, compliance, and corporate governance.

Duties And Compliance Officer & Regulatory Monitoring

• Lead, design and implement an effective Compliance Management System that is tailored to the business in order to meet regulatory requirements.
• Provide regular compliance reporting to company management, the Compliance Review Board and counterparts at the company affiliates.
• Interpret new and updated laws and regulations impacting the companys current and or proposed operations.
• Ensure the organization has awareness of proposed changes to laws and regulations and assist with designing necessary controls.
• Perform periodic risk assessments to ensure that the company maintains sufficient operational compliance controls.
• Design and implement a compliance testing and monitoring program to ensure that the company complies with applicable laws and regulations.
• Oversee the companys policies and procedures and ensure that existing and proposed business policies, procedures, forms, and processes comply with the applicable laws and regulations.
• Work with stakeholders to draft and update compliance policies and procedures.
• Develop and deploy effective compliance training for stakeholders, including communication of legal and regulatory changes, business process changes, and to reflect other key business risks.
• Develop and update compliance training materials and monitor ongoing completion and effectiveness of training programs.
• Develop a framework to assess the compliance risks associated with using third-party service providers by working with the companys Vendor Management Team.
• Perform vendor due diligence directly, as necessary.

General Counsel And Corporate Secretary

• Provide strategic and regulatory legal advice to senior management and internal stakeholders on matters pertaining to business transactions and operations
• Draft, review, and negotiate various commercial agreements, contracts, and other legal documents
• Review and approve customer-facing and dealer-facing documentation to ensure compliance with applicable laws
• Manage and advise corporate governance matters, including convening and managing ordinary/extraordinary BOD and shareholders meeting and filings
• Responsible for a wide range of corporate and commercial legal matters such as contracts, consumer protection, intellectual property, employment/labor issues, data protection, anti-competition and regulatory investigations
• Act as legal interface with the company, and related affiliates and organizations
• Actively participate in the development and support of business/legal strategies and effective implementation of the company initiatives and goals
• Select and manage outside counsel to obtain legal opinions and handle claims/litigations against the company
• Supervise and manage legal work of other team members, outside counsels and employees of the company

Knowledge And Skills

• Strong knowledge of Indian laws and regulations related to financial services
• Strong ability to function as a business partner and balance varying perspectives and points of view
• Skilled in development of policies, procedures, training methods and materials
• Excellent communication skills; ability to interface with legal counsel and business groups at all levels of the organization
• Strong problem solver; excellent project management skills; attention to detail. Effective leadership, management and advocacy skills

Education And Experience

• Bachelor of Laws (LL.B.) from a recognized Indian university; LL.M. or international legal qualifications preferred
• Active member in good standing of Indian bar (Bar Council of India, BCI). Registered with a State Bar Council in India and have successfully passed the All India Bar Examination (AIBE), holding a valid Certificate of Practice issued by the Bar Council of India.
• Minimum of 13+ years PQE gained as in-house legal practitioner and/or a reputable private practice law firm from multi finance and financial services industry
• Experience in leading teams and managing attorneys, legal staff and compliance functions
• Strong expertise in Indian corporate law, financial regulations, RBI compliance, and data protection
• AML/CTF and compliance, preferably as an MLRO experience
• Captive-auto finance and consumer finance experience strongly preferred
• Must be fluent in English and Hindi (or other Indian languages)

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