VP Compliance Alternative Investment

2 months ago

Mumbai, India Larson Maddox Full time

Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.


Reporting Structure: Global CCO


As a Compliance Officer, you will have a critical role in ensuring regulatory compliance and best practices within the firm's onshore India operations. Your responsibilities will include advising on fund establishment, transactions, new products, and business initiatives, while providing day-to-day compliance oversight. You will collaborate closely with central compliance teams, monitor regulatory changes, cultivate key relationships, and establish and update compliance policies and procedures in alignment with firm standards and regulations.


Key Responsibilities:


  • Advise senior management on fund establishment, transactions, new products, and business initiatives.
  • Supervise compliance activities for onshore businesses in India to ensure adherence to local regulations.
  • Provide guidance to central compliance teams, such as Financial Crime Compliance and the Anti-bribery Group, from a local regulatory perspective.
  • Stay informed about regulatory changes, assess their impacts, and drive their implementation.
  • Cultivate and manage regulatory relationships, participate in industry forums to support organizational goals.
  • Develop, draft, and revise compliance policies and procedures outlining firm requirements and best practices.
  • Lead regulatory and internal audits, conduct ad-hoc compliance training, and coordinate regulatory reporting, including suspicious transaction reporting.
  • Collaborate with various firm departments on initiatives and projects, including Controllers, Operations, Legal, and Internal Audit.
  • Engage with external partners like law firms, audit firms, fund administrators, and trustees.
  • Represent Compliance in board and committee meetings involving senior management.


Qualifications:

  • Bachelor's degree in Finance, Business, Law, or related field. An advanced degree is preferred.
  • Extensive experience in Compliance for Alternative Investment Fund s within the onshore India business. Open for candidates with both primary and secondary market experience.
  • Strong understanding of local regulatory requirements and best practices.
  • Demonstrated track record in policy development, regulatory analysis, and relationship management.
  • Excellent communication and stakeholder engagement skills.
  • Ability to effectively lead audits, training programs, and regulatory reporting processes.

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