Compliance Officer - SEBI Regulated Business (5-10 yrs)

About the Role:

We are looking for a Compliance Officer (Company Secretary) to take full ownership of the regulatory compliance function for SEBI-registered entities, including AIFs, PMS, and RIAs. This is a critical leadership role in a dynamic investment platform, ideal for professionals with strong experience in asset management and financial services compliance.

Key Responsibilities:

- Regulatory Compliance & Governance: Develop, implement, and manage compliance policies for SEBI-registered entities. Ensure timely and accurate regulatory filings and oversee audits.

- Stakeholder & SEBI Liaison: Act as the primary contact with SEBI, handle regulatory inspections, and provide updates to senior leadership, including the Board and Audit Committee.

- Strategic Compliance Advisory: Collaborate with the product team to ensure regulatory alignment for new financial products and lead licensing initiatives (e.g., Mutual Funds).

- Risk & Process Management: Monitor regulatory changes, assess risks, and implement best governance practices.

- Team Leadership: Manage and mentor a team of compliance professionals, ensuring a strong culture of compliance within the organization.

What We're Looking For:

- Experience: 5-10 years in compliance roles within SEBI-regulated financial services (AIF, PMS, RIA, Mutual Funds preferred).

- Expertise: Strong knowledge of SEBI regulations, compliance audits, and risk management frameworks.

- Leadership & Communication: Ability to engage with regulators, board members, and internal teams effectively.

- Proactive Mindset: Someone who can anticipate regulatory changes and drive compliance initiatives proactively.