Company Secretary & Compliance Officer

Job Description: Compliance Officer

Location: Mumbai, Maharashtra
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: ₹250,000.00 - ₹2,000,000.00 per year

Work Location: In person