Lawsikho

Deadline Open Deadline

Location Mumbai, India

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

Details of the Organization

Upstox is one of India's leading Fin-Tech companies with a mission to simplify trading & investing to make it easily accessible to the masses. They aim to enable everyone, from new investors to seasoned traders, to invest across multiple categories with our state-of-the-art trade & investment platform and commission-free pricing. They offer numerous asset categories to invest in, like Stocks, IPOs, Mutual Funds, and more.

Details of the Job/Internship

Upstox is hiring a Senior Legal Manager to join them in their Mumbai office.

Role and Responsibilities

Contract Management Manage the entire contract lifecycle in a timely manner, including drafting, reviewing, and negotiating contracts to ensure alignment with legal standards, organizational objectives, and risk mitigation practices. Drive the digitization of contracts and SOPs to streamline contract processes across initiation, approval, execution, storage, and renewals. Collaborate with internal stakeholders to meet contractual obligations, address disputes, and ensure compliance with regulatory requirements (e.g., RBI guidelines). Monitor and mitigate contract-related risks, provide performance reports, and conduct training sessions for internal teams to ensure awareness and compliance. Continuously recommend process improvements and stay updated on regulatory changes and industry best practices to enhance contract management operations.
Legal Advisory and RBI Compliance Framework Develop and oversee a comprehensive compliance framework in line with RBI and financial regulations. Provide counsel on legal, regulatory, and compliance matters, including digital lending and data protection. Draft and negotiate contracts, ensuring alignment with RBI and industry standards.
Corporate Governance and Secretarial Compliance Overseeing board meetings, minutes, and resolutions per governance standards. Define corporate governance practices, including board protocols and shareholder documentation. Manage secretarial responsibilities: ROC filings, RBI reporting, statutory records, and corporate meeting documentation.
Policy Implementation and Development Establish compliance policies, SOPs, and procedures addressing RBI requirements, AML/KYC, data privacy, etc. Manage ongoing audits, compliance checks, and regulatory updates. Regularly update policies to reflect regulatory changes, ensuring smooth integration into daily operations.
Regulatory Liaison and Relationship Management Serve as the primary liaison with RBI and other regulatory bodies. Represent the company in regulatory meetings, inspections, and industry forums. Build and maintain strong relationships with regulatory officials and industry associations.
Cross-Functional Collaboration and Training Work with product, tech, and operations teams to ensure compliance integration across products and services. Develop and deliver compliance training programs to increase team awareness of regulations and policies. Advise internal teams on compliance considerations for new products and initiatives.

Eligibility

Bachelors degree in law (LLB) with preferred ICSI certification; additional certifications in RBI compliance, AML/KYC, or data protection are advantageous.
6-10 years in legal, compliance, or secretarial roles, with 3-5 years in RBI regulatory liaison, ideally within FinTech or financial services.
Background in dispute resolution and interaction with police officials is a plus.
Knowledge in RBI regulations, contract negotiation, compliance management, and regulatory filings.
Strong policy and contract drafting abilities, risk management, and early-stage compliance experience.
Excellent communication, organizational, and leadership skills with a proactive, entrepreneurial approach.