Head of Investment Compliance

What are the ongoing responsibilities of this positionTeam Leadership & Development:

• Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.

Portfolio & Trading Desk Compliance:

• Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.

Stakeholder & Relationship Management:

• Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.

Regulatory Compliance & Reporting:

• Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.

Compliance Systems & Process Oversight:

• Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre/post trade compliance monitoring.

Project Leadership:

• Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.

Training & Change Management:

• Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.

Creative Problem Solving & Risk Mitigation:

• Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.

What qualifications, skills, and experience would help someone to be successfulExperience:

• Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, with a focus on investment compliance.
• Experience working with Indian mutual fund regulations (SEBI, AMFI) across asset classes including equities, fixed income, and derivatives.
• Proven success in managing high-performing teams and handling complex compliance projects.

Education & Certifications:

• Bachelor s degree in Accounting, Finance, or Business Administration (MBA is a plus).
• Professional certifications such as CFA or FRM are highly desirable.

Technical & Functional Skills:

• Strong knowledge of compliance systems (Quantis, Charles River, Aladdin).
• Proficiency in MS Office and MS Project.
• Excellent analytical, problem-solving, and decision-making skills.

Leadership & Communication:

• Strong stakeholder management and interpersonal skills.
• Ability to influence across levels and present complex ideas with clarity.
• Demonstrated ability to balance strategic vision with operational detail.

Attributes for Success:

• Highly motivated, trustworthy, and independent.
• Creative thinker with a proactive, solutions-oriented mindset.
• Able to manage multiple priorities in a dynamic environment.
• Committed to fostering a culture of compliance and continuous improvement.