Head of Compliance

2 weeks ago

Mumbai, Maharashtra, India Stallion Asset Full time ₹ 20,00,000 - ₹ 25,00,000 per year

Position Overview

We are seeking a highly experienced and senior-level Compliance Officer to lead and oversee the compliance function at Stallion Asset Pvt. Ltd. Currently operating as a SEBI-registered Portfolio Management Services (PMS) firm, we are also in the process of applying for additional licenses including Mutual Fund, Alternative Investment Fund (AIF), and GIFT City-based entities.

The ideal candidate should have deep expertise in SEBI regulations, strong exposure to PMS compliance, and the ability to establish compliance frameworks for new business verticals. This is a leadership role reporting directly to the Board.

Role & responsibilities

Regulatory Compliance PMS (Current Operations)

  • Act as the Principal Officer for Compliance and liaison with SEBI and other regulators.
  • Ensure strict adherence to SEBI PMS Regulations, 2020.
  • Review and file regulatory returns, disclosures, and compliance reports on time.
  • Conduct internal audits, inspections, and compliance testing.
  • Monitor client communications, transactions, and investment guidelines for compliance.

New Business Expansion MF, AIF & GIFT City (Future)

  • Lead compliance setup and frameworks for new business licenses (MF, AIF, IFSCA GIFT City).
  • Ensure alignment with SEBI Mutual Fund Regulations, SEBI AIF Regulations, and IFSCA regulations.
  • Prepare policies, manuals, and SOPs for these new entities.
  • Act as the regulatory liaison during the license application and approval process.

Governance & Risk Management

  • Advise the Board and Senior Management on compliance and regulatory risks.
  • Draft, review, and implement compliance policies and internal codes of conduct.
  • Oversee compliance training programs for employees.
  • Handle regulatory inspections, audits, and notices with professionalism.

Reporting & Record Keeping

  • Maintain accurate compliance records, registers, and documentation.
  • Provide periodic compliance status reports to the Board and senior leadership.
  • Ensure transparent and timely disclosures to stakeholders.

Preferred candidate profile

  • Chartered Accountant (CA) / Company Secretary (CS) / Lawyer / CFA / MBA (Finance or Compliance).
  • Minimum 1015 years of compliance experience in financial services.
  • Proven track record in SEBI compliance.
  • Exposure to Mutual Fund, AIF, or GIFT City compliance preferred.
  • Strong understanding of Indian securities laws, corporate governance, and regulatory reporting.
  • Excellent leadership, drafting, and stakeholder management skills.

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