General Manager- Legal & Compliance

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: 

Compliance Strategy

• Supporting the organisation in identifying an appropriate compliance framework for new business initiatives or due to regulatory changes impacting the organisation’s existing businesses 

• Owning the implementation of compliance-related tasks emanating from new business initiatives or due to changes in regulations for existing businesses 

  
  

Business Partnering

• Acting as a partner across all the business areas from a legal & compliance perspective to enable the execution of business initiatives

• Resolving business teams’ queries and equipping them with the knowledge required to undertake various projects

• Identifying & setting up processes and/or decision-making frameworks to enable faster execution of business initiatives

  
  

Recurring Compliances

• Ensuring compliance with the recurring SEBI & RBI-related requirements impacting the organisation, including record maintenance, upkeep of policies, audits, reporting obligations, etc.

• Ensuring compliance with all the recurring contractual obligations across the group companies

  
  

Legal

• Defining & maintaining templates for various business contracts 

• Reviewing, negotiating & concluding contracts with external stakeholders

  
  

Other projects/initiatives - Undertaking 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 5-7 years of post-qualification experience

• Strong understanding of SEBI regulations for research analysts and investment advisers, as well as RBI regulations for lending service providers

• Knowledge of other SEBI regulations, including laws governing brokers, & execution-only platforms, RBI regulations for account aggregators, & outsourcing guidelines, 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. We're a young, driven team of 250+ headquartered in Bangalore. 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 9 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.