Team Lead - Legal and Compliance (PSS07642)

Job Title: Team Lead – Legal & Compliance

Location: Mumbai

About the client: PSS has been mandated to hire a Team Lead – Legal & Compliance for one of India's premier asset management companies, headquartered in Mumbai. The firm is renowned for its disciplined approach, robust governance, and unwavering commitment to ethical practices, making it a trusted choice for investors across generations.

Job Purpose:

To lead the legal and compliance function, ensuring rigorous adherence to SEBI and regulatory frameworks. This role requires a seasoned compliance professional with strong legal acumen, business orientation, and leadership ability to support risk mitigation and policy enforcement at the organizational level.

Key Responsibilities:

Monitoring and ensuring full adherence to SEBI and other statutory regulatory frameworks.
Drafting, reviewing, and negotiating legal agreements and business contracts.
Managing litigation and regulatory responses in coordination with external counsels.
Designing and implementing internal policies exceeding minimum compliance thresholds.
Conducting regular audits and generating reports for internal and regulatory stakeholders.
Leading compliance risk assessments and mitigation strategies in collaboration with the risk team.
Driving compliance awareness across the organization through training and engagement.
Leading a team to ensure seamless legal and compliance operations.

Educational Qualifications and Experience:

Candidates must be qualified Company Secretary (CS).
LL.B. is ideal; CA or B.Com is an added advantage.
12-15 years of experience in legal and compliance roles, preferably within mutual fund companies or broking houses.
Strong expertise in SEBI regulations, compliance, internal governance, and policy implementation.
A proactive leader with strong interpersonal skills and business acumen.

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