About the role
SECTION I: ROLE INTRODUCTION
Job Title
Legal MIS & Process
Reporting To
Unit Head – Legal MIS & Process
Job Code ID
Business Unit
Legal Risk Management
Grade/ Level
G7-G10
Sub Business Unit
Retail Legal
Management Band
DM/Manager/SM/AVP
Location
Mumbai
Section II: JOB ROLE SCOPE
Number of Direct Reports
Not Applicable
Financial Metrics (Budget, Revenue, etc.)
Not Applicable
Total Team Size
Not Applicable
SECTION III: PURPOSE OF THE ROLE
To manage and optimize processes within the Retail Legal Risk function, ensuring compliance with regulatory requirements, internal policies, and risk management standards. The role involves oversight of legal risk processes driving operational efficiency and coordinating with cross-functional teams to mitigate legal and operational risks.
SECTION IV: KEY RESPONSIBILITIES & KPIS OF THE ROLE
Responsibilities
KPIs
Legal Data Management
· Manage and analyze large legal datasets, ensuring accuracy and integrity
· Maintaining trackers on legal activities
· Ensures accuracy and integrity of legal MIS & analytics and timely submissions
· Preparing periodic reports, dashboards, and MIS for senior management, Committees, and regulatory authorities.
· Adherence to all legal/compliance/regulatory processes
· Accurate and timely submission/update of data
· Adhering to Regulatory/Compliance/Audit framework
· Timely/Accurate submission of requirements
· Periodical Streamlining of Legal Policy and Process in line with Business requirements and Legal/Regulatory framework
· To analyze the legal portfolio and come up with new strategy / process changes to reduce cost
· Debit legal cost to the customers SOA
· Timely re-presentation of the NACH / ECH Mandate and track instruments which are cleared
· New initiatives/projects to overcome challenges/business requirements/smoothen processes
· Additional tasks handled along with existing portfolio
· Analyzing the data & sharing key highlights towards process / strategies with Team/stake holders
· Processing of vendor payments
· Collection of NDC
· Vendor monitoring and Review
· Attending/completing all the mandatory training/modules assigned by HCM
· Trainings to stakeholders/ other members of the team on Litigation Management system, Yes pay and Yes Pal
Policies, Processes & Procedures
· Implementation of Standard Operating Procedures (SOPs) for legal workflows/ activities
· Oversee day‑to‑day operations of the processes/policies, ensuring smooth functioning
Vendor Management
· Onboarding & Disengagement of vendors as per policy
· Monitoring Vendor Reviews and No Due Certificates
· Vendor Payments reviews and data management
Performance Monitoring & Reporting
· Provide insights helping decision making via legal data
· Reporting data to internal/external stakeholders (Business, Regulators, Internal/External Auditors, Senior Management, Committees, etc.)
Relationship Management
· Collaboration with stakeholders and concerned Business Units
· Provide transparent reports on litigation updates and process efficiency
Digital Transformation
· Conducting UAT’s and Sanity Testing
· Liaising with BDTS/Vendor for resolving issues faced
· Supporting team on issues faced
Risk and Internal Control
· Identify risk, assess implications and their mitigation
· Oversee day‑to‑day operations of the processes/policies, ensuring smooth functioning
People Management
· Mentor and guide team members in process execution, risk management, and compliance adherence.
· Promote a culture of risk awareness and process discipline within the team.
SECTION V: OPERATING NETWORK
Internal
Concerned stakeholders and other Business Units
External
Advocates, Digital transformation vendor, etc.
SECTION VI: ROLE PROFILE REQUIREMENTS
Education
Graduate in any faculty
Experience
5-8 years of experience in banking/legal risk functions, with significant exposure to legal processes
Competencies
CORE COMPETENCIES
LEADERSHIP/ BEHAVIORAL COMPETENCIES
· Strong expertise in banking operations and legal risk management in the retail banking context
· Process management and workflow optimization skills
· Proficiency in MS Office along with reviewing legal data and implementing legal frameworks
· Multi-tasking
· Excellent communication, negotiation, and stakeholder management skills
· Collaboration and teamwork
· Analytical and attention to detail