Senior Manager- Legal & Compliance

Kodo; Mumbai; On-site; INR 3,000,000 - 6,000,000; Full time

Job summary

Kodo in Mumbai, India, seeks a seasoned Legal & Compliance leader to act as the principal legal advisor to the Board, senior management and business teams on legal, regulatory, governance and strategic matters. You will ensure compliance with Companies Act, RBI regulations, FEMA, labour, data privacy, and other statutory requirements; develop and maintain risk, governance and contract frameworks.

Lead corporate secretarial work, board meetings, regulatory submissions, and liaise with regulators

Qualifications

• Proven experience advising boards or senior leadership on legal and regulatory matters.
• Strong understanding of corporate governance, compliance programs and risk management.
• Experience with regulatory filings, board meeting support and corporate secretarial duties.

Responsibilities

• Provide principal legal advice to the Board, senior management and business teams on regulatory and strategic issues.
• Ensure compliance with Companies Act, RBI regulations, FEMA, labour and data privacy laws.
• Develop and maintain legal, compliance, governance, and risk management frameworks across the organization.
• Lead corporate governance initiatives and advise on governance best practices.
• Oversee corporate secretarial functions including filings, board resolutions and AGMs/EGMs.

Skills

Regulatory compliance

Legal interpretation

Governance

Contract management

Job description

• Serve as the principal legal advisor to the Board of Directors, senior management, and business teams on legal, regulatory, governance, and strategic matters.
• Ensure compliance with the Companies Act, RBI regulations, FEMA, labour laws, contract laws, data privacy laws, and other applicable statutory requirements.
• Develop, implement, and maintain legal, compliance, governance, and risk management frameworks across the organization.
• Drive corporate governance initiatives and advise the Board on governance best practices.
• Oversee all corporate secretarial functions, including statutory registers, filings, board resolutions, annual filings, and regulatory submissions.
• Plan and manage Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs), including agenda preparation, board papers, minutes, and statutory documentation.

Role And Responsibilties

• Serve as the principal legal advisor to the Board of Directors, senior management, and business teams on legal, regulatory, governance, and strategic matters.
• Ensure compliance with the Companies Act, RBI regulations, FEMA, labour laws, contract laws, data privacy laws, and other applicable statutory requirements.
• Develop, implement, and maintain legal, compliance, governance, and risk management frameworks across the organization.
• Drive corporate governance initiatives and advise the Board on governance best practices.
• Oversee all corporate secretarial functions, including statutory registers, filings, board resolutions, annual filings, and regulatory submissions.
• Plan and manage Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs), including agenda preparation, board papers, minutes, and statutory documentation.

Legal Advisory & Corporate Governance

• Serve as the principal legal advisor to the Board of Directors, senior management, and business teams on legal, regulatory, governance, and strategic matters.
• Ensure compliance with the Companies Act, RBI regulations, FEMA, labour laws, contract laws, data privacy laws, and other applicable statutory requirements.
• Develop, implement, and maintain legal, compliance, governance, and risk management frameworks across the organization.
• Drive corporate governance initiatives and advise the Board on governance best practices.
• Oversee all corporate secretarial functions, including statutory registers, filings, board resolutions, annual filings, and regulatory submissions.
• Plan and manage Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs), including agenda preparation, board papers, minutes, and statutory documentation.

Contract Management

• Draft, review, negotiate, and finalize commercial contracts, customer agreements, vendor agreements, partnership agreements, confidentiality agreements, technology agreements, employment contracts, and other legal documentation.
• Ensure all contracts adequately protect the Company's commercial, legal, operational, and financial interests.
• Standardize legal documentation and maintain contract governance across the organization.

Regulatory Compliance

• Develop and oversee the Company's enterprise-wide compliance framework.
• Ensure ongoing compliance with RBI regulations, NBFC regulatory requirements, AML/KYC/CFT guidelines, data protection laws, outsourcing guidelines, digital lending regulations, and other applicable regulatory frameworks.
• Monitor regulatory developments and ensure timely implementation of new legal and compliance requirements.
• Manage regulatory reporting, statutory filings, inspections, and correspondence with regulators.

Treasury, Investment & Wealth Management Compliance

• Provide legal and regulatory oversight for treasury operations, investment products, mutual fund distribution, and wealth management businesses.
• Ensure compliance with applicable RBI, SEBI, AMFI, and other regulatory requirements governing investment and financial products.
• Review legal documentation relating to treasury transactions, investment products, distribution agreements, customer disclosures, and strategic partnerships.
• Support the launch of new treasury, investment, and wealth management products by ensuring legal and regulatory compliance.
• Liaise with Asset Management Companies (AMCs), trustees, custodians, banking partners, regulators, and external legal advisors on legal and compliance matters.
• Ensure compliance with Mutual Fund Distributor (MFD) regulations, AMFI guidelines, ARN requirements, distributor code of conduct, and investor protection norms.

Risk Management

• Identify legal, regulatory, contractual, operational, financial, and reputational risks affecting the business.
• Develop mitigation strategies and compliance controls to minimize organizational risk exposure.
• Conduct compliance reviews, legal risk assessments, and internal audits.
• Investigate legal and compliance breaches and recommend corrective actions.

Litigation & Dispute Resolution

• Manage litigation, arbitration, consumer disputes, recovery matters, employment disputes, and regulatory proceedings.
• Coordinate with external legal counsel and oversee case strategy and legal documentation.
• Respond to legal notices, regulatory inquiries, and government investigations.

Stakeholder & Regulatory Management

• Build and maintain effective relationships with RBI, SEBI, RoC, AMFI, auditors, external legal counsel, investors, government authorities, and other regulatory bodies.
• Represent the Company before regulators, government agencies, and external stakeholders whenever required.

Compliance Culture & Training

• Develop and implement legal and compliance policies, SOPs, and governance frameworks.
• Conduct compliance awareness and regulatory training programs for employees.
• Promote a culture of ethics, integrity, governance, and regulatory compliance throughout the organization.

Strategic Business Support

• Partner with Product, Treasury, Finance, Technology, Risk, HR, and Business teams to provide legal support for new products, strategic initiatives, partnerships, and commercial transactions.
• Review business proposals, marketing material, customer communication, and investment disclosures from a legal and regulatory perspective.
• Highlight legal, regulatory, financial, and commercial risks that could impact the Company's revenue, operations, or reputation.

Team Leadership

• Lead, mentor, and develop the Legal & Compliance team.
• Drive process improvements, automation, and operational excellence within the legal and compliance function.
• Establish performance standards and ensure timely delivery of legal and compliance objectives.

Skills: regulations,legal,compliance,rbi,sebi