Capitalmind Financial Services - Compliance Officer

Capitalmind Wealth (a boutique Portfolio Management firm)is seeking a strategic and execution-focused Compliance Officer (CO) to lead regulatory and compliance function across its Wealth Management / Portfolio Management business. As an individual contributor, the CO will drive end-to-end compliance, embed a strong culture of integrity, and act as a trusted advisor to the leadership team to align compliance with business growth and investor trust.

Key Responsibilities :

1. Regulatory Compliance : Own the firm's regulatory posture by ensuring complete and timely compliance with SEBI PMS and related regulations-including filings, disclosures, inspections, audits and approvals for all products and client mandates.

2. Strategic Advising : Partner with the core leadership team and the board to embed compliance into strategic initiatives, influencing decisions around product, growth, investor strategy, and risk appetite while safeguarding regulatory integrity.

3. Policy Development Implementation : Design and operationalize compliance policies, internal controls, and SOPs that reflect applicable laws and regulations, ensuring they are clearly communicated, consistently enforced, and periodically updated.

4. Risk & Controls Oversight : Build and oversee a strong internal control and monitoring framework that maps compliance risks to controls, manages PMS and ISO audits, and drives proactive issue detection, documentation, resolution, and incident prevention.

5. Sales, Marketing & Product Oversight : Develop and oversee a scalable process driven compliance framework to ensure all public-facing content and investor communications are compliant with applicable laws and regulations.

6. Investor Protection & Suitability : Safeguard investor interests by enforcing rigorous suitability frameworks, complaint resolution standards, and proactive reviews of client segments and early-warning indicators to prevent mis-selling and reputational risk.

7. AML / PMLA & Surveillance : Lead firm-wide AML / KYC efforts by implementing effective surveillance and risk-scoring mechanisms, ensuring compliance with PMLA, FATCA / CRS, and timely filing of suspicious transaction reports.

8. Training, Culture & Integrity : Champion a culture of compliance and ethical conduct through training, awareness, policy acknowledgments, and setting a strong "tone from the top" that reinforces trust, accountability, and transparency.

9. Technology & Automation : Drive adoption of compliance automation and RegTech solutions to digitize workflows, enhance monitoring, and reduce manual intervention-aligning compliance systems with operational scalability.

Qualifications & Experience :

• 10+ years in compliance or risk roles within financial services, preferably in PMS, AIF, or wealth management
• Deep understanding of SEBI, PMLA, AML / KYC, FATCA / CRS regulations and compliance frameworks
• Proven experience in audits & policy implementation, Strong communication, analytical, and influencing skills; comfortable, operating as a senior individual contributor
• Professional qualifications preferred : CA, CS, CFA, MBA, or NISM compliance certifications

(ref : iimjobs.com)