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Head of Investment Compliance

Head of Investment Compliance

ConfidentialMumbai
9 days ago
Job description

What are the ongoing responsibilities of this position Team Leadership & Development :

  • Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.

Portfolio & Trading Desk Compliance :

  • Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.

    • Stakeholder & Relationship Management :

  • Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.

    • Regulatory Compliance & Reporting :

  • Oversee all regulatory filings and internal / external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.

    • Compliance Systems & Process Oversight :

  • Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre / post trade compliance monitoring.

    • Project Leadership :

  • Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.

    • Training & Change Management :

  • Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.

    • Creative Problem Solving & Risk Mitigation :

  • Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.

    • What qualifications, skills, and experience would help someone to be successful Experience :

  • Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, with a focus on investment compliance.
  • Experience working with Indian mutual fund regulations (SEBI, AMFI) across asset classes including equities, fixed income, and derivatives.
  • Proven success in managing high-performing teams and handling complex compliance projects.

    • Education & Certifications :

  • Bachelor s degree in Accounting, Finance, or Business Administration (MBA is a plus).
  • Professional certifications such as CFA or FRM are highly desirable.

    • Technical & Functional Skills :

  • Strong knowledge of compliance systems (Quantis, Charles River, Aladdin).
  • Proficiency in MS Office and MS Project.
  • Excellent analytical, problem-solving, and decision-making skills.

    • Leadership & Communication :

  • Strong stakeholder management and interpersonal skills.
  • Ability to influence across levels and present complex ideas with clarity.
  • Demonstrated ability to balance strategic vision with operational detail.

    • Attributes for Success :

  • Highly motivated, trustworthy, and independent.
  • Creative thinker with a proactive, solutions-oriented mindset.
  • Able to manage multiple priorities in a dynamic environment.
  • Committed to fostering a culture of compliance and continuous improvement.

    • Skills Required

    Mutual Funds, Wealth Management, Accounting Finance, Change Management, Business Administration, Investment Management

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    Head Of Compliance • Mumbai