Head of Compliance / Chief Compliance Officer

Position Overview

Mutual Fund, Alternative Investment Fund (AIF), and GIFT City-based entities

SEBI regulations

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.