Chief Compliance Officer

4 days ago


Mumbai, Maharashtra, India Alpha Alternatives Full time

About:

Alpha Alternatives is a multi-asset class alternatives asset management platform based out of India and Singapore, with over 12000 crores of assets under management, and deep focus on alpha generation.

We are passionate about finding alternative investment opportunities that can deliver superior risk-return characteristics. We operate across various alternative spaces like Equities, Commodities, Absolute Returns, Structured Credit, Fixed Income, Quant, and Infrastructure.

Our products span across various investment structures such as NBFC (ND-SI), AIF (Cat II & III), PMS, RIA and Gift City.


  • Our team consists of 180+ people who are vastly experienced across domestic and global hedge funds and financial institutions and have strong academic credentials at top universities. We are strongly performance driven and look for people who share a similar DNA.
  • We are seeking a highly experienced Company Secretary to lead our Compliance and Secretarial team of the NBFC (asset size of > 5000 crores) with listed securities.
  • The ideal candidate will have a strong background in investment NBFC/financial services company or with a practising CS that has BFSI clients. Experience with RBI registered middle layer NBFC will be highly preferred.
  • The successful candidate will be on an accelerated career path towards becoming the Head of Secretarial/Compliance.

Key Responsibilities:

  • Lead the entire secretarial function end-to-end and contribute to compliance function.
  • Establish and implement all compliance policies applicable to NBFCs, regularly reviewing and upgrading them as required by regulation.
  • Build and implement processes and systems to ensure smooth functioning of the NBFC with respect to compliance function.
  • Review and ensure timely and accurate submissions of various regulatory filings.

Key Skills:

  • Strong knowledge of regulatory requirements and compliance policies.
  • Experience in leading and managing teams.
  • Excellent communication and stakeholder management skills.
  • Ability to interpret regulations and seek clarifications from regulators and the market.


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