Compliance Officer for Alternative Investment Funds

1 month ago


Mumbai, Maharashtra, India Larson Maddox Full time
About the Role

Larson Maddox is seeking a seasoned Compliance Officer to join our team in Mumbai, India. As a Vice President of Compliance, you will be responsible for overseeing compliance matters for our onshore India operations and working closely with the Global CCO and SEBI.



Key Responsibilities:

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


Qualifications:

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


Company Information

Larson Maddox is a leading alternative investment firm with a strong presence in the APAC region.



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