Chief Compliance Officer - General Counsel - Financial Services

Role Overview:

The position is with Financial Services and they are looking for a Chief Compliance Officer and General Counsel based in Mumbai.

Regulatory Liaison & Advocacy:

- Lead engagement with regulators (RBI, SEBI, MoF, CERC, NHAI, etc.)

- Manage regulatory submissions, inspections, and approvals.

- Drive advocacy on regulatory matters to support business growth.

Compliance Oversight:

- Ensure zero regulatory breaches, penalties, or compliance misses.

- Guide departments on regulatory, legal, and policy compliance.

- Drive closure of audit/RBI inspection observations with minimal gaps.

- Lead investigation and remediation of compliance issues.

Legal Advisory & Governance:

- Advise business and management on regulatory, legal, and contractual matters.

- Ensure adherence to obligations under all agreements (clients/vendors).

- Support Board/CEO with timely regulatory and legal inputs.

Documentation & Transaction Support:

- Ensure quality, consistency, and TAT of project finance documentation (60-70 deals).

- Strengthen legal due diligence and documentation standards.

- Develop legal SOPs and guardrails across sectors.

External Counsel & Cost Management:

- Manage law firm relationships and optimize legal costs.

- Minimize external counsel usage where internal capability exists.

Capability Building & Governance:

- Build sectoral legal expertise (power, telecom, etc.).

- Strengthen use of compliance/legal tools and processes.

- Contribute to policies, frameworks, and governance mechanisms.

Team Leadership:

- Support hiring, mentoring, and retention of key talent.

- Build a strong compliance-driven culture.