Compliance and Legal Officer Compliance and Legal Officer
About Finstreet Limited:
Finstreet Limited is a financial services holding company, registered in ADGM, Abu Dhabi, that oversees a portfolio of regulated subsidiaries specializing in exchange operations, custody services, and advisory services. We are committed to driving innovation, delivering exceptional client experiences, and achieving sustainable growth in today's dynamic financial landscape.
Title: Compliance and Legal Officer
Location: GIFT City, India
Job Summary:
The Compliance and Legal Officer will be responsible for overseeing all legal, regulatory, and compliance aspects of setting up and running the stock exchange in GIFT City. This role requires a deep understanding of financial regulations, compliance protocols, and operational know-how to ensure seamless integration and adherence to legal standards.
Key Responsibilities:
Legal Strategy: Develop and implement legal strategies to support the establishment and ongoing operations of the stock exchange.
Regulatory Compliance: Ensure compliance with all relevant regulatory requirements and standards, including those specific to GIFT City and international financial markets.
Operational Oversight: Collaborate with the operations team to ensure that legal and compliance requirements are integrated into all operational processes and procedures.
Documentation: Draft, review, and negotiate legal documents, agreements, and contracts related to the stock exchange operations.
Stakeholder Engagement: Liaise with regulatory bodies, government agencies, and other stakeholders to facilitate approvals and ensure compliance with legal and regulatory requirements.
Risk Management: Identify potential legal and compliance risks and develop strategies to mitigate them, ensuring the protection of the company’s interests.
Team Leadership: Lead and manage a team of legal and compliance professionals, providing guidance and support to ensure effective performance.
Policy Development: Develop and implement policies and procedures to ensure legal and regulatory compliance across all aspects of the stock exchange operations.
Training and Development: Provide training and guidance to internal teams on legal and compliance matters related to the stock exchange.
Alignment with Strategy: Ensure that legal and compliance strategies and activities align with the overall strategy of the holding company, supporting long-term goals and objectives.
Qualifications:
Education: Bachelor’s degree in Law (LLB) from a recognized university. A Master’s degree (LLM) in Financial Law or related field is preferred.
Experience: Minimum of 10-15 years of experience in legal and compliance roles within the financial services industry, with significant experience in capital markets or stock exchange operations.
Licenses: Must be a qualified lawyer registered with the Bar Council of India.
Innovative Approach: Ability to think strategically and innovatively in a dynamic and evolving regulatory environment.
GIFT City Experience: Prior experience working within GIFT City or similar financial centers.
Industry Networks: Established relationships with regulators, legal professionals, and industry stakeholders.
Skills:
In-depth knowledge of Indian and international financial regulations.
Strong understanding of compliance requirements for financial markets.
Excellent drafting, negotiation, and communication skills.
Ability to work collaboratively with cross-functional teams.
Strong analytical and problem-solving skills.
Experience in risk management and mitigation strategies.
Legal Fundamentals