Head of Investment Compliance
2 weeks ago
About Our Client
Leading AMC player
Job Description
Team Leadership & DevelopmentLead, 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.-
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