Head of Investment ComplianceConfidential • Mumbai
Head of Investment Compliance
Confidential • Mumbai
30+ days ago
Job descriptionEnsure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds. 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. Oversee all regulatory filings and internal / external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies. Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre / post trade compliance monitoring. Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight. Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes. Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls. 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. Bachelor s degree in Accounting, Finance, or Business Administration (MBA is a plus). Professional certifications such as CFA or FRM are highly desirable. Strong knowledge of compliance systems (Quantis, Charles River, Aladdin). Proficiency in MS Office and MS Project. Excellent analytical, problem-solving, and decision-making skills. 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. 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.
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 :
Stakeholder & Relationship Management :
Regulatory Compliance & Reporting :
Compliance Systems & Process Oversight :
Project Leadership :
Training & Change Management :
Creative Problem Solving & Risk Mitigation :
What qualifications, skills, and experience would help someone to be successful Experience :
Education & Certifications :
Technical & Functional Skills :
Leadership & Communication :
Attributes for Success :
Skills Required
Mutual Funds, Wealth Management, Accounting Finance, Change Management, Business Administration, Investment Management
Create a job alert for this search
Head Of Compliance • Mumbai
Related jobs
Head of Compliance
Artha Group • Mumbai, Maharashtra, India
Artha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund.Our ve...Show more
Last updated: 30+ days ago • Promoted
Head of Compliance
Confidential • Mumbai, India
Artha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund.Our ve...Show more
Last updated: 30+ days ago • Promoted
Head of Investment Banking
Confidential • Mumbai, India
M&A, and capital market transactions for our group.The ideal candidate brings strong deal-making capability, deep sector expertise, and a proven track record of closing high-value transactions.Lead...Show more
Last updated: 6 days ago • Promoted
Finance and Compliance Head
ACSEL Technology Forum • navi mumbai, maharashtra, in
All applications must be sent to : info@acsel.The Finance and Compliance Head will be responsible for ensuring the financial integrity, regulatory compliance, and statutory obligations of the Centre...Show more
Last updated: 8 hours ago • Promoted • New!
ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund
ValueQuest • Mumbai, India
Senior Compliance Officer - Alternative Investment Fund (10-12 yrs) About the job : - We are seeking a dynamic and experienced Se...Show more
Last updated: 30+ days ago • Promoted
Head of Insurance Operations & Compliance
Triaxa - FZCO • Mumbai, IN
Insurance Operations & Compliance Manager & Founder Mentor.Industry : Insurance (Health / Motor / Life / General – flexible).
SLAs, broker agreements, and basic reinsurance contracts.Build and manage...Show more
Last updated: 15 hours ago • Promoted • New!
Senior Investment Professional
SLK • Thane, IN
Job Description – Senior Investment Professional.Senior Investment Professional.Remote work based in India (Full-Time).SLK is a specialist climate change and healthcare advisory firm dedicated to a...Show more
Last updated: 30+ days ago • Promoted
Head of Industry & Investor Relations
ACSEL Technology Forum • mumbai, maharashtra, in
All applications must be sent to : info@acsel.The Head of Industry & Investor Relations will be responsible for establishing and managing high-impact partnerships with industry leaders, investors, a...Show more
Last updated: 8 hours ago • Promoted • New!
Deputy Head Internal Audit & Compliance
Confidential • mumbai, maharashtra, in
POSITION VACANT : Deputy Head, Internal Audit & Compliance, Leading Philanthropic Organization, Mumbai.Our client is a respected philanthropic organization working across India to enable large-scale...Show more
Last updated: 17 days ago • Promoted
Compliance Manager (IBS)
Maersk • Mumbai, Maharashtra, India
Manages the Compliance Program for Anti-Corruption and Foreign Trade Controls at the Area level in accordance with the Maersk Compliance Program local / International laws and regulations.Support our...Show more
Last updated: 30+ days ago • Promoted
Head of Investment Banking
Deven Choksey • Mumbai, Maharashtra, India
About the Role We are looking for a dynamic Head – Investment Banking to lead fund-raising, M&A, and capital market transactions for our group.
The ideal candidate brings strong deal-making capabil...Show more
Last updated: 7 days ago • Promoted
Head of Compliance - Barclays Investments Loans India Private Limited
Confidential • Mumbai, India
Join us as a 'Head of Compliance for Barclays Investments and Loans India Private Limited'.To ensure that appropriate compliance induction, annual refresher, and other topical training is delivered...Show more
Last updated: 24 days ago • Promoted
Finance And Compliance Head
ACSEL Technology Forum • Dombivli, Republic Of India, IN
All applications must be sent to : info@acsel.The Finance and Compliance Head will be responsible for ensuring the financial integrity, regulatory compliance, and statutory obligations of the Centre...Show more
Last updated: 2 hours ago • Promoted • New!
Head Of Industry & Investor Relations
ACSEL Technology Forum • Dombivli, Republic Of India, IN
All applications must be sent to : info@acsel.The Head of Industry & Investor Relations will be responsible for establishing and managing high-impact partnerships with industry leaders, investors, a...Show more
Last updated: 2 hours ago • Promoted • New!
Head of Compliance
Vahura • Mumbai, Maharashtra, India
SEBI and Stock Exchanges, SEBI LODR Compliances, Secretarial Activities etc.Interested professionals can reach out to nilasha@vahura.Show more
Last updated: 5 days ago • Promoted
Investor Relations Head
Confidential • Mumbai
Lead investor relations and capital raising strategy from ideation to deal closure.Manage ongoing communications with existing and potential investors, analysts, and financial institutions.Support ...Show more
Last updated: 30+ days ago • Promoted
Artha Group - Head - Compliance
Artha Group • Mumbai, India
Description : About Artha Group : Artha Group is a performance-led investment house managing over 1,250 crores (USD 150M+) across five fund platfo...Show more
Last updated: 30+ days ago • Promoted
Investment Banking Intern
Star Trooper Media • Thane, IN
Build Your Profile with Real Experience in Fundraising & Investor Relations.We empower ambitious startups to raise capital from global investors.
As an Investment Banking Intern, you’ll get real-wor...Show more
Last updated: 30+ days ago • Promoted