Leadership Opportunity | Head of Investment Compliance

"Job Description What are the ongoing responsibilities of this positionTeam 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 successfulExperience: 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."

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