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Compliance Officer

2 weeks ago

Marol Mumbai Maharashtra, India Austral International Co. Full time ₹ 1,80,000 - ₹ 22,00,000 per year

Job Description: Compliance Officer

Location: Marol, Andheri Mumbai

Industry: Asset Management

Employment Type: Full-time

Experience Level: 8-10 Years

About the Role

We are seeking an experienced and strategic Compliance Officer to join our asset management firm in Mumbai. This senior role requires a seasoned professional who can independently manage our compliance function, provide strategic guidance to leadership, and ensure robust adherence to regulatory requirements while enabling business growth.

Key Responsibilities

Strategic Compliance Leadership

  • Lead the compliance function and serve as the primary compliance advisor to senior management and the board
  • Develop and implement comprehensive compliance strategies aligned with business objectives and regulatory expectations
  • Build and maintain strong relationships with SEBI, RBI, and other regulatory authorities

Regulatory Compliance & Risk Management

  • Ensure full compliance with SEBI regulations including SEBI (Portfolio Managers) Regulations, SEBI (AIF) Regulations, and other applicable guidelines
  • Proactively monitor and interpret regulatory changes and assess their impact on business operations
  • Design and oversee implementation of enterprise-wide compliance frameworks and controls
  • Conduct comprehensive compliance risk assessments and develop mitigation strategies
  • Oversee compliance programs and ensure robust KYC processes

Governance & Policy Framework

  • Establish, review, and enhance compliance policies, procedures, and governance frameworks
  • Lead compliance committee meetings and provide expert guidance on complex compliance matters
  • Develop and maintain compliance manuals, SOPs, and code of conduct
  • Ensure effective implementation of compliance culture across the organization

Regulatory Reporting & Liaison

  • Oversee preparation and timely submission of all regulatory filings, returns, and disclosures
  • Manage regulatory inspections, examinations, and audits
  • Serve as primary point of contact for regulatory authorities and external auditors
  • Provide comprehensive compliance reports and presentations to board and senior management

Training & Advisory

  • Design and conduct compliance training programs for employees, including senior management
  • Provide expert compliance advice on complex transactions, conflicts of interest, and ethical matters
  • Mentor junior compliance team members and build compliance capabilities within the organization
  • Stay ahead of industry best practices and emerging compliance trends

Investigation & Remediation

  • Lead investigations into compliance breaches, suspicious activities, and internal violations
  • Develop and implement corrective action plans for compliance gaps
  • Maintain incident management systems and ensure timely resolution of issues
  • Monitor effectiveness of remediation measures

Required Qualifications

Education & Certification

  • Bachelor's degree in Law, Commerce, Finance, or related field (Master's degree) Professional certifications such as CS (Company Secretary), NISM Series VIII (Compliance Officer), CAMS (Certified Anti-Money Laundering Specialist), or equivalent are mandatory
  • Additional certifications like CFA, FRM, or specialized compliance qualifications are an advantage

Experience

  • 8-10 years of progressive compliance experience in asset management, mutual funds, portfolio management services, or financial services sector
  • Demonstrated experience in managing regulatory inspections and interactions with SEBI/RBI
  • Proven track record of building and managing compliance frameworks from the ground up
  • Experience in handling complex compliance matters and providing strategic guidance to leadership

Technical Knowledge

  • In-depth knowledge of SEBI regulations, securities laws, and asset management compliance requirements
  • Familiarity with global compliance standards and best practices
  • Knowledge of fund structures AIFs, PMSs) and their regulatory frameworks

Skills & Competencies

  • Strategic thinking with ability to balance compliance requirements and business needs
  • Exceptional analytical, problem-solving, and decision-making abilities
  • Strong leadership and stakeholder management skills
  • Excellent written and verbal communication skills for regulatory correspondence and presentations
  • Ability to work under pressure and manage multiple complex projects simultaneously
  • High ethical standards and integrity
  • Proficiency in compliance management systems and regulatory reporting platforms

What We Offer

  • 5 days working
  • Leadership role with significant organizational impact
  • Performance-based bonuses and long-term incentives
  • Comprehensive health insurance and wellness benefits
  • Professional development and continuous learning opportunities

Job Types: Full-time, Permanent

Pay: ₹1,800, ₹2,200,000.00 per year

Benefits:

  • Health insurance
  • Leave encashment
  • Life insurance
  • Provident Fund

Application Question(s):

  • How many years of experience you have in asset management, mutual funds, portfolio management services, or financial services sector?
  • Where do you stay ?
  • Do you have Knowledge of fund structures AIFs, PMSs and their regulatory frameworks?

Work Location: In person