Chief Compliance Officer

The role involves ensuring that the organization operates legally, ethically, and effectively, minimizing risk and enhancing the organization s reputation and trust among stakeholders. This includes responsibility for regulatory adherence, risk mitigation, investor protection, and operational integrity. It also includes providing advice and guidance to management / Board of Directors on upcoming regulations and best practices to be adapted proactively.

Core Responsibilities:

The responsibilities include:

1. Regulatory Compliance & Framework Management

• Develop, implement, and monitor the company s compliance framework for both PMS and AIF in line with applicable regulations and ensure 100% compliance.
• Ensure internal compliance audits and inspections, ensure immediate actions on the gaps.
• Stay updated on changes to laws, regulations, and guidelines that may impact the PMS and AIF operations, and ensure timely incorporation into company processes.

2. Policy Development & Oversight

• Formulate and maintain comprehensive compliance policies, procedures, and manuals tailored to PMS and AIF activities.
• Ensure the effective dissemination of these policies to relevant departments and teams.
• Regularly review and update policies to ensure they align with regulatory developments and industry best practices.

3. Risk Management

• Identify, assess, and mitigate compliance risks associated with PMS and AIF products and services.
• Work closely with internal teams to ensure alignment between compliance and risk strategies.
• Monitor client portfolios to ensure that all activities comply with PMS guidelines and AIF fund mandates.

4. Reporting & Communication

• Prepare and submit timely compliance reports to the Board of Directors, and regulatory authorities.
• Communicate with regulatory bodies regarding inquiries, submissions, inspections, and updates.
• Develop communication strategies to keep the organization informed of new compliance developments.

5. Audits & Inspections

• Liaise with external auditors and regulators during compliance audits and inspections.
• Oversee the documentation and record-keeping of all compliance-related activities and transactions.
• Ensure readiness for regulatory inspections and prepare the organization to meet external audit requirements.

6. Client & Investor Protection

• Ensure all investor communications and disclosures are accurate, complete, and in line with regulatory requirements.
• Oversee the handling of investor complaints and grievances in accordance with legal and regulatory guidelines.
• Monitor and enforce the suitability and appropriateness standards for investments under PMS and AIF services.

7. Training & Awareness

• Conduct/ensure regular compliance training programs for employees across departments to ensure an understanding of regulatory requirements for PMS and AIF.
• Promote a culture of compliance throughout the organization, emphasizing the importance of adherence to regulations and ethical standards.

8. Ethical Leadership

• Act as a role model for ethical behavior and decision-making within the company.
• Address any unethical practices or misconduct and ensure proper investigations and reporting.
• Create a culture of adherence to regulations in spirit, not only just in words.

Requirements: Experience, Skills, and Competencies:

Qualification: Bachelor s degree in Law, Finance, Business, or a related field. A Master s degree (MBA/LLM) or a professional qualification such as Chartered Accountant (CA) or Company Secretary (CS) is preferred.

Experience: Minimum of 8-10 years of experience in compliance, legal, or regulatory roles within the financial services industry, preferably with direct exposure to PMS and AIF operations.

Regulatory Knowledge: In-depth understanding of SEBI regulations and other applicable laws relating to PMS, AIF, and the financial markets.

Leadership: Proven track record in senior leadership roles managing the Compliance function.

Preferred Certifications: Certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Compliance & Ethics Professional (CCEP), or other relevant compliance
certifications.

Competencies:

• Detail-oriented with the ability to manage complex regulatory requirements.
• Strong ethics, integrity, and accountability. Ability to maintain confidentiality and handle sensitive information.
• Proactive in identifying risks and implementing solutions.
• Excellent analytical skills & problem-solving and decision-making abilities.
• Communication and interpersonal skills.
• Ability to advise, persuade top management.
• Strategic leadership capabilities with business acumen.
• Proficient with technology.

Our commitments:

• We are an equal opportunities employer and encourage diversity in the workplace.
• A healthy work-life balance.
• Flexibility Everyone is encouraged to manage their time effectively in line with their commitments.
• Excellent learning and growth potential.
• Strong value system.

Apply for this role Apply for this position Accepted file types: pdf, Max. file size: 20 MB. Career post title Please leave this field empty.

You will be receive an email alert when a new job is posted on our website. You can unsubscribe anytime.