Chief Compliance Officer

1 month ago

Mumbai, India iimjobs Full time

Chief Compliance Officer- AIF/FPI


Chief Compliance Officer / Head Compliance


Location: Mumbai
Reporting To: Directors

CTC: 70-75 Lacs

Client:

Established in 2017, our client is a dynamic and regulated organization under SEBI, RBI, and IFSCA. Initially focused on a single line of business, the firm has diversified into four distinct ventures within the Asset Servicing Business.

The company specializes in meticulously crafted financial solutions catering to offshore investment managers, Institutional Investors, accredited investors, and offers consultancy services to both offshore and onshore asset managers.

Presently, the firm manages assets under servicing worth USD 3.7 billion. Our clearing business confirms on an avg 13.2 lac trades per day, with 4.73 lac crores of notional value trades. Client has a team of overall 90 employees, our Head Office is located in Mumbai (offices location Prabhadevi and Worli), and additional offices in GIFT city.

Their robust presence in GIFT city sets them apart, as one of the pioneering companies with a dedicated team, holding an ancillary service license. This license enables them to offer comprehensive fund administration services encompassing investor onboarding, Fund Accounting, Structuring, Compliance, and advisory on set-ups. We take pride in being the largest GIFT City Administrator, managing substantial assets through GIFT City, and being among the initial recipients of Ancillary Services. Additionally, the client is in the process of setting up an office in Dubai (DIFC), further expanding their global footprint.

Roles & Responsibilities:

Strategic Leadership:

- Develop and execute the company's strategic plan in alignment with the vision and goals set by the Board of Directors.

- Provide visionary leadership and foster a culture of innovation, collaboration, and excellence.

Compliance Oversight:

- Directly supervise the Compliance team to ensure strict adherence to IFSCA, SEZ, SEBI AIF, Ancillary Services, PMS Guidelines, and other relevant regulations.

- Stay informed about changes in regulatory landscapes and guide the organization accordingly.

Corporate Governance:

- Develop and implement robust corporate governance practices.

- Work closely with the team to ensure business development and operational deliveries across segments.

Legal Affairs:

- Oversee the drafting, review, and execution of contracts, Non-Disclosure Agreements, Master Service Agreements, Licensing Agreements, and other legal documents.

Stakeholder Management:

- Build and maintain strong relationships with key stakeholders, including regulatory authorities, to ensure smooth operations and address concerns proactively.

Risk Management:

- Mitigate legal and regulatory risks by providing clear guidance to the Compliance and Operating teams.

- Implement an effective compliance risk framework at the organizational level.

Team Development:

- Foster a positive and inclusive work environment, attracting top talent and promoting professional development.

- Inspire and lead the executive team to achieve company goals.

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