Senior Manager - Legal, Risk & Compliance

Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow.

Section 1:
Position Summary

As a key member of the LRC Department, this position will be responsible for overseeing all legal

and regulatory matters, development and implementation of risk management functions, and

compliance initiatives for Global Capability Center (GCC) in India. This leadership role requires

extensive expertise in Indian financial regulations, U.S. laws and customs, strong managerial

capabilities, and a strategic mindset to ensure organizational integrity and operational resilience.

This position will report to the Director - Legal, Risk & Compliance of Ascensus India with oversight

from the U.S. stakeholders.

Section 2:
Job Functions,

Essential Duties and Responsibilities

Regulatory Function

Regulatory Advisory and Organizational Management.
Draft, review, and negotiate a wide range of contracts, including vendor agreements,

employment contracts, service agreements, and NDAs.

Notify the Board and/or senior management on legal issues impacting company's

operations and regulatory requirements.

Manage and coordinate with external legal counsel on regulatory matters, litigation and

dispute resolution, if any.

Stay abreast of changes in Indian laws and regulations relevant to financial services.

Risk Management

Develop, implement, and oversee risk management strategies to identify, assess, and
mitigate legal, regulatory, operational, and reputational risks.
Lead regular risk assessments across business units to identify current and emerging risks, ensuring comprehensive risk registers are maintained and updated.
Collaborate with cross-functional teams to embed risk management practices into day-to-day operations.
Develop and deliver risk management training programs for employees at all levels.
Promote a culture of risk awareness and continuous improvement.

Compliance Function

Lead the design, implementation, and monitoring of compliance programs in accordance

with Indian law, US parent company policies, and global standards.

Develop and deliver training programs to raise awareness of compliance obligations among employees.
Conduct internal investigations into potential compliance breaches and recommend

corrective actions.

Ensure timely and accurate regulatory filings and reporting.
Develop and maintain robust internal policies, procedures, and controls.

Corporate Governance

Support the Board and leadership in governance matters, including preparing board

materials and ensuring statutory compliance.

Manage company secretarial functions, including maintaining statutory registers and

records

Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
At Ascensus we are guided by our Core Values of People Matter, Quality First and Integrity Always®. They inspire us every day to prioritize an environment of respect for those we serve and one another and should be visible in your actions on a day-to-day.

Supervision

Build and lead a high-performing legal, risk, and compliance team.
Mentor and develop team members, fostering a culture of integrity and continuous improvement

Section 3:
Experience, Skills, Knowledge Requirements

Education:

Master's degree in finance, Risk Management, Business Administration, or

related field. Professional certifications such as CRMP, FRM, PRM, are preferred.

Minimum of 12+ years of relevant experience in legal, risk, and compliance roles, ideally

within a multinational or GCC environment.

Deep understanding of Indian financial regulations (RBI, FEMA, Companied Act, Tax laws etc.).
Experience working with or for US-based multinational corporations; familiarity with the U.S compliance standards (FCPA, SOX, etc.) is highly desirable.
Strong communication and stakeholder management skills.
Demonstrated ability to lead and influence at all levels of the organization.

For all virtual remote…