Compliance Officer - Investment Firm (15-20 yrs)

Aquis Search is partnering with a leading global investment firm to hire a Compliance Officer for their Mumbai office. This is a highly specialized role focused on SEBI regulations, FPI (Foreign Portfolio Investment) compliance, and research oversight.

Why This Role?

- Front-Office Exposure: Mumbai office is a front-office setup with a growing research team.

- Strategic SEBI Engagement: Ideal for someone with Sell-Side or Investment Banking experience who has established relationships with SEBI and understands the nuances of FPI regulations.

- Collaboration with Global Teams: Work closely with portfolio managers, the Head of Compliance (India - Bangalore), and global stakeholders.

What You'll Be Doing:

- Advising on SEBI regulations and compliance issues related to FPI investing & research

- Monitoring & overseeing communication to ensure research activities remain compliant

- Acting as the key point of contact for SEBI, custodians, and market participants

- Providing compliance inputs to advisory committees and internal teams

- Conducting internal investigations, risk assessments & regulatory reporting

Who Should Apply?

- Sell-Side Compliance Professionals from major investment banks or securities firms handling FPI regulations

- Hedge Fund Compliance Experts with experience in FPIs (e.g., MLP, Kotak, Global Custodians)

- 10-12 years of experience in a financial institution with a strong understanding of SEBI rules