Associate/ Senior Associate - Legal & Compliance

Role & responsibilities

• Assess, develop, implement, and maintain compliance processes for Kalkine group companies in accordance with applicable laws and regulations.
• Prepare, review, and submit regulatory filings with relevant authorities.
• Conduct legal and regulatory research and advise management on investment advisory regulations, telemarketing laws, and privacy laws across the UK, Australia, New Zealand, the US, Canada, and India.
• Handle queries and notices received from regulators by assessing associated risks, formulating appropriate strategies, and ensuring timely responses.
• Review marketing materials, client communications, websites, and product descriptions to ensure compliance with legal and marketing guidelines.
• Conduct legal research relating to the establishment of new businesses across different jurisdictions, including assessment of legal challenges and applicable licensing requirements.
• Ensure that business activities are conducted in compliance with all applicable laws, regulations, internal policies, and procedures.
• Monitor and ensure that all regulatory registrations, permissions, and licences remain valid and appropriate for business requirements.
• Conduct ongoing compliance risk assessments of company practices and assist in developing internal policies, procedures, compliance manuals, and protocols.
• Conduct legal and compliance training sessions for operational teams.
• Act as a liaison with regulatory authorities and maintain relationships with external consultants and internal stakeholders.
• Coordinate with third parties seeking to understand the companys compliance framework, control environment, policies, and procedures.
• Conducting legal research for setting up new businesses in different jurisdictions and legal challenges and various licensing requirements.

Preferred candidate profile

• Knowledge of the compliance domain and operations, preferably within fintech compliance, or a strong interest in legal compliance and regulatory engagement roles.
• Strong analytical, written, and verbal communication skills, along with effective presentation and stakeholder management abilities.
• Excellent attention to detail and a strong work ethic.
• Candidates with prior in-house experience in the IT/ITES or Financial Services sector will be preferred.