Manager/Senior Manager - Legal & Compliance

About the role

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

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.

About CASE Platforms

CASE Platforms (formerly smallcase) is building the compounding layer for long-term wealth, helping every Indian design better financial futures with simple and transparent investment products.

Across its consumer brands (smallcase, Tickertape, Zerodha CASE Funds, creditcase), CASE serves 20+ million investors with model portfolios, index funds, ETFs and secured credit.

CASE also provides technology platforms & solutions to the largest and fastest-growing financial institutions to enable them to offer differentiated wealth experiences to their clientele.

In this role, you will

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
• Working with external counsels on regulatory, IP and dispute matters

Recurring Compliances

• Owning and ensuring compliance with recurring requirements under SEBI, AMFI, APMI, IRDAI & RBI regulations, including record maintenance, upkeep of policies, audits, inspections, reporting obligations
• Ensuring ongoing compliance with all the recurring contractual obligations across group companies

Compliance Strategy

• Supporting the organisation in identifying and designing 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
• Guiding and reviewing the work of junior team members and interns

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 portfolio managers & stock brokers.
• Knowledge of other regulations of financial sector regulators, including laws governing research analysts, investment advisers, mutual fund distributors & execution-only platforms; RBI regulations for lending service providers, account aggregators, & outsourcing guidelines; FEMA/LRS & IFSCA rules for cross border investing; IRDAI laws on corporate agents, as well as data privacy regulations (including DPDP & CSCRF), is an added advantage
• Ability to prioritise and manage multiple regulatory frameworks and deadlines 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

Workplace: This role is based in our Bangalore office and will require 3 days weekly in the office, with flexibility for 2 remote days each week.