Details of the Organization

Smallcase is a leading provider of investment products to Indian investors & platforms to the capital markets industry. Launched in 2016, smallcase offerings have served 10+ million individual investors helping them build better long-term portfolios.

Details of the Job/Internship

Smallcase is looking for a candidate for the position of Manager/Senior Manager- Legal & Compliance with 4 to 5 years of experience to join them at their office in Bengaluru.

Role and Responsibilities

• 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.
• 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.
• 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.
• 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.
• Driving initiatives for the continuous improvement of processes within the compliance function to make it efficient, effective & scalable.

Eligibility

• 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.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Bengaluru, Karnataka, India.

Application and Registration Details

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After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application. 

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