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About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Role Overview
The Head of Legal & Compliance will oversee all legal, compliance, and corporate governance matters for the organization. This role requires a strong understanding of legal frameworks applicable to the service and investment banking industry, along with hands-on experience in managing Board processes, regulatory compliance, and client documentation. The ideal candidate will bring deep domain expertise and the ability to guide the company in maintaining ethical and compliant business operations.
Key Responsibilities
1. Legal Advisory & Documentation
Review, draft, and negotiate:
Client Engagement Letters
Non-Disclosure Agreements (NDAs)
Other legal documents and commercial agreements
Provide legal guidance on corporate, commercial, and regulatory matters.
Ensure organisational compliance with applicable legal statutes and industry standards.
2. Corporate Governance
Organise and conduct Board Meetings and related committee meetings.
Prepare and maintain statutory registers, minutes, resolutions, and filings.
Ensure compliance with CSR spending requirements and reporting norms.
3. Compliance Management
Monitor, interpret, and implement compliance policies in line with regulatory changes.
Oversee adherence to legal and internal compliance frameworks.
Support internal and external audits.
4. Regulatory Expertise (Added Advantage)
Knowledge of SEBI Merchant Banking regulations.
Understanding of Insider Trading Regulations.
Prior experience within the Investment Banking ecosystem is preferred.
Qualifications
Degree in Law (LLB / LLM).
Company Secretary (CS) preferable
Experience
8–10 years of experience in the service industry.
Strong exposure to legal, compliance, and governance functions.
Skills & Competencies
Strong understanding of various legal laws applicable to corporate and financial services.
Excellent drafting, negotiation, and communication skills.
High ethical standards and sound judgment.
Ability to work effectively with senior stakeholders and regulatory bodies.
