Head of Investment Compliance

About Our Client

Leading AMC player

Job Description

• 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.

The Successful Applicant

• 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.