Compliance Head

5 days ago

Mumbai, Maharashtra, India Connexio Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Job Description

Responsibilities:

  • Oversee day-to-day compliance including updating and enforcing the Firm's Compliance Manual and Code of Ethics, regulatory filings, handling issues and questions related to trading activities/investment deals and assisting with AML and background checks related to counterparties on investment deals

  • Deliver compliance training (as needed), assist with email review and escalate issues to the Global CCO in ensuring compliance with applicable laws/statutes

  • Assist in regulatory and compliance filing activities, reviewing fund activity to detect any potential compliance issues, and implementing and executing corrective actions to compliance issues

  • Act as the Firm's primary contact with external regulators, specifically MAS and SEBI

Qualifications:

  • The candidate must have India regulatory experience ideally in the private market and ability to manage SEBI given deal flow/pipeline.

  • 10+ years of work experience in a compliance or regulatory-related function within an SEC, FCA, SEBI and/or MAS regulated firm or the relevant experience with a law firm or consulting firm

  • Additional legal or compliance education and/or law degree is advantageous but not essential

Location : Mumbai

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