Head of Investment Compliance
3 days ago
Opportunity to work with a leading AMC Opportunity to work directly with the senior management 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.
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Head of Investment Compliance
3 days ago
Mumbai, India Franklin Templeton Full timeAt Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...
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Head of Investment Compliance
1 week ago
Mumbai, Maharashtra, India Franklin Templeton Full time ₹ 15,00,000 - ₹ 30,00,000 per yearAt Franklin Templeton, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...
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Head of Compliance
3 weeks ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
3 weeks ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
1 week ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
3 weeks ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
2 weeks ago
mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
2 weeks ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
2 weeks ago
Mumbai, India Artha Group Full timeAbout Artha Group 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
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Head of Compliance
3 weeks ago
Mumbai, India Artha Group Full timeAbout Artha GroupArtha 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 vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
