Associate Director Legal (SEBI Regulatory Lawyer) Associate Director Legal (SEBI Regulatory Lawyer) with verification
Aquis Search is currently assisting our client, a financial services analytics business in their search for an Associate Director Legal in Mumbai. This role is essentially for a SEBI regulatory lawyer with about 12 years PQE.
(JD not comprehensive and for reference only)
Role Overview:
As an Associate Director, Legal, you will be a key member of the Legal team. Your primary responsibility will be to provide legal support and guidance in compliance with SEBI regulations, manage interactions with the SEBI regulator, and ensure adherence to legal standards within the business. Additionally, you will utilize your expertise in banking and financial services to contribute to the overall legal strategy and operations of the company.
Key Responsibilities:
1. Legal Compliance and Regulatory Affairs:
- Ensure compliance with SEBI regulations and other relevant legal frameworks pertaining to operations.
- Stay updated with changes in regulatory requirements and communicate implications to internal stakeholders.
- Act as a liaison between company and regulatory authorities, managing interactions and inquiries effectively.
2. Risk Management:
- Identify legal risks associated with ratings operations and develop strategies to mitigate them.
- Provide legal counsel on high-pressure and conflict scenarios, guiding stakeholders towards optimal solutions.
3. Transactional Support:
- Review and negotiate contracts, agreements, and legal documents related to ratings business activities.
- Collaborate with internal teams to ensure legal requirements are met in transactions and client relationships.
4. Policy Development:
- Assist in the development and implementation of company policies and procedures to ensure legal compliance and risk mitigation.
- Provide input on policy changes and enhancements based on evolving regulatory landscapes and industry trends.
5. Stakeholder Management:
- Build and maintain effective relationships with internal stakeholders, including business teams, management, and other legal functions.
- Act as a trusted advisor, providing legal guidance and support on various operational matters.
Skills and Qualifications:
Education: Bachelor's degree in Law (LL.B) from a recognized institution. Additional qualifications such as LL.M or relevant certifications are desirable.
Experience: 12 years of experience in legal roles, with a focus on securities markets, banking, financial services, and regulatory compliance.
Regulatory Knowledge: Familiarity with SEBI regulations and other relevant legal frameworks governing the financial services industry.
Risk Management: Proven ability to assess legal risks, manage uncertainties, and navigate high-pressure conflict scenarios effectively.
Communication: Excellent communication and interpersonal skills, with the ability to convey complex legal concepts clearly to diverse audiences.
Stakeholder Management: Strong relationship-building skills with the ability to collaborate effectively with internal and external stakeholders.
Adaptability: Comfortable working in a dynamic environment with evolving regulatory requirements and business priorities.
If this is of interest, please click apply or drop me a note on [email protected] for a confidential chat.
Legal Fundamentals