Chief Compliance Officer

1 week ago

Mumbai, Maharashtra, India beBeeInvestment Full time ₹ 1,80,00,000 - ₹ 2,00,00,000
Lead Investment Compliance Specialist

A highly experienced and motivated professional is required to lead a dynamic team of compliance experts in ensuring portfolio and trading desk compliance, driving strategic initiatives, and engaging with senior stakeholders across the business.



Key Responsibilities:
  • Team Leadership: Lead, mentor, and develop a high-performing team of compliance professionals; plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.
  • Portfolio & Trading Desk Compliance: Ensure adherence to 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 guidance on compliance matters.
  • Regulatory Compliance & Reporting: Oversee all regulatory filings and internal external certifications; ensure timely and accurate reporting to relevant 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 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, focusing on evolving regulatory landscapes.
  • Creative Problem Solving & Risk Mitigation: Identify compliance risks and develop proactive solutions; continuously improve monitoring procedures, systems, and internal controls.
Requirements:
  • Experience: Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, focusing 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.
  • Leadership & Communication: Excellent analytical, problem-solving, and decision-making skills; strong stakeholder management and interpersonal skills; ability to influence across levels and present complex ideas with clarity.
Attributes for Success:
  • Highly motivated, trustworthy, and independent.
  • Creative thinker with a proactive, solutions-oriented mindset.
  • Able to manage multiple priorities in a dynamic environment.
  • Committed to fostering a culture of compliance and continuous improvement.

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