About The Team
The Legal & Compliance team acts both as a custodian for the organisation and an enabler for business initiatives, and thus, provides an opportunity to impact the organisation meaningfully
About The Role
We are looking to hire an ownership-driven individual for the smallcase group's Legal & Compliance team. This is a team contributor role with an interface both within and outside the organisation.
What You'll Be Doing
Legal
- Conducting legal research to support business teams from a legal & compliance perspective to enable execution of existing and new business initiatives
- Reviewing, negotiating & concluding contracts with external stakeholders
- Defining, standardising & maintaining templates for various key business contracts
Recurring Compliances
- Owning and ensuring compliance with recurring requirements under SEBI, IRDAI & RBI regulations, including record maintenance, upkeep of policies, audits, reporting obligations
- Ensuring ongoing compliance with all the recurring contractual obligations across group companies
Compliance Strategy
- Supporting the organisation in identifying and designing an appropriate compliance frameworks for new business initiatives and in response to regulatory changes impacting the existing businesses
- Owning and overseeing the implementation of compliance-related tasks emanating from new business initiatives and in response to changes in regulations for existing businesses
Business Partnering
- Acting as a trusted legal and compliance partner to business teams to enable timely and compliant execution of business initiatives
- Resolving business teams queries and proactively equipping them with the knowledge required to undertake various projects/assignments
Other projects/initiatives
- Driving initiatives for the continuous improvement of processes within the compliance function to make it efficient, effective & scalable
What we're looking for
- Bachelor's or Master's degree in law with 4-5 years of post-qualification experience
- Strong understanding of SEBI regulations for research analysts, portfolio managers & stock brokers.
- Knowledge of other SEBI regulations, including laws governing investment advisers & execution-only platforms; RBI regulations for lending service providers, account aggregators, & outsourcing guidelines; IRDAI laws on corporate agents, as well as data privacy regulations, is an added advantage
- Ability to manage multiple regulatory frameworks simultaneously for different financial products/services
- Relevant experience in contract drafting and negotiation is required
- Ability to work independently with limited supervision, a strong sense of ownership and a problem-solving mindset
- Effective verbal and written communication skills, including the ability to interact independently with internal team members and external stakeholders
About Smallcase
At smallcase, we are changing how India invests. smallcase is a leading provider of investment products & platforms to over 10 million Indians. smallcase was founded in July 2015 by three IIT Kharagpur graduates, Vasanth Kamath, Anugrah Shrivastava and Rohan Gupta.
smallcase has been focused on offering innovative investing experiences & technology. Our platforms are used by over 300 of India's largest financial brands and most respected institutions. We are backed by world-class investors including top-tier funds, institutions and operators from the capital markets space who believe in our mission of enabling better financial futures for every Indian.
Life at smallcase
We are not just building a business, we are making a long-lasting impact both in the wealth & assets landscape with our unique technology & expanding ecosystem. Over the last 11 years, our team, products, and platforms have grown and so have our ambitions.
Innovation remains at the heart of what we do. Our other core values are transparency, integrity & long-term thinking. Our key asset has always been our people, and we empower individuals to build and do some of the best work in their lifetimes at smallcase. Flexibility, ownership and constant feedback loops are some of the ways we keep evolving the working environment.
Skills: sebi regulations,compliance,legal,rbi regulations
