Job Description

: Compliance Officer

Location:

Marol, Andheri Mumbai

Industry:

Asset Management

Employment Type:

Full-time

Experience Level:

8-10 Years

About the Role

We are seeking an experienced and strategic Compliance Officer to join our asset management firm in Mumbai. This senior role requires a seasoned professional who can independently manage our compliance function, provide strategic guidance to leadership, and ensure robust adherence to regulatory requirements while enabling business growth.

Key Responsibilities

Strategic Compliance Leadership

Lead the compliance function and serve as the primary compliance advisor to senior management and the board Develop and implement comprehensive compliance strategies aligned with business objectives and regulatory expectations Build and maintain strong relationships with SEBI, RBI, and other regulatory authorities

Regulatory Compliance & Risk Management

Ensure full compliance with SEBI regulations including SEBI (Portfolio Managers) Regulations, SEBI (AIF) Regulations, and other applicable guidelines Proactively monitor and interpret regulatory changes and assess their impact on business operations Design and oversee implementation of enterprise-wide compliance frameworks and controls Conduct comprehensive compliance risk assessments and develop mitigation strategies Oversee compliance programs and ensure robust KYC processes

Governance & Policy Framework

Establish, review, and enhance compliance policies, procedures, and governance frameworks Lead compliance committee meetings and provide expert guidance on complex compliance matters Develop and maintain compliance manuals, SOPs, and code of conduct Ensure effective implementation of compliance culture across the organization

Regulatory Reporting & Liaison

Oversee preparation and timely submission of all regulatory filings, returns, and disclosures Manage regulatory inspections, examinations, and audits Serve as primary point of contact for regulatory authorities and external auditors Provide comprehensive compliance reports and presentations to board and senior management

Training & Advisory

Design and conduct compliance training programs for employees, including senior management Provide expert compliance advice on complex transactions, conflicts of interest, and ethical matters Mentor junior compliance team members and build compliance capabilities within the organization Stay ahead of industry best practices and emerging compliance trends

Investigation & Remediation

Lead investigations into compliance breaches, suspicious activities, and internal violations Develop and implement corrective action plans for compliance gaps Maintain incident management systems and ensure timely resolution of issues Monitor effectiveness of remediation measures

Required Qualifications

Education & Certification

Bachelor's degree in Law, Commerce, Finance, or related field (Master's degree) Professional certifications such as CS (Company Secretary), NISM Series VIII (Compliance Officer), CAMS (Certified Anti-Money Laundering Specialist), or equivalent are mandatory Additional certifications like CFA, FRM, or specialized compliance qualifications are an advantage

Experience

8-10 years of progressive compliance experience in asset management, mutual funds, portfolio management services, or financial services sector Demonstrated experience in managing regulatory inspections and interactions with SEBI/RBI Proven track record of building and managing compliance frameworks from the ground up Experience in handling complex compliance matters and providing strategic guidance to leadership

Technical Knowledge

In-depth knowledge of SEBI regulations, securities laws, and asset management compliance requirements Familiarity with global compliance standards and best practices Knowledge of fund structures AIFs, PMSs) and their regulatory frameworks

Skills & Competencies

Strategic thinking with ability to balance compliance requirements and business needs Exceptional analytical, problem-solving, and decision-making abilities Strong leadership and stakeholder management skills Excellent written and verbal communication skills for regulatory correspondence and presentations Ability to work under pressure and manage multiple complex projects simultaneously High ethical standards and integrity Proficiency in compliance management systems and regulatory reporting platforms

What We Offer

5 days working Leadership role with significant organizational impact Performance-based bonuses and long-term incentives Comprehensive health insurance and wellness benefits Professional development and continuous learning opportunities
Job Types: Full-time, Permanent

Pay: ?1,800,000.00 - ?2,200,000.00 per year

Benefits:

Health insurance Leave encashment Life insurance Provident Fund
Application Question(s):

How many years of experience you have in asset management, mutual funds, portfolio management services, or financial services sector? Where do you stay ? Do you have Knowledge of fund structures AIFs, PMSs and their regulatory frameworks?
Work Location: In person