Assistant Vice President - Capital Compliance - CA

Role Overview:

We are seeking a seasoned AVP of Compliance to lead our Capital Markets regulatory framework in Mumbai. In this pivotal role, you will oversee the firm's adherence to complex financial regulations, ensuring that our trading activities and capital operations remain fully compliant with evolving market standards. You will work closely with senior leadership, internal audit teams, and external regulatory bodies to mitigate operational risks and uphold the firm's integrity. Your work will directly influence our strategic decision-making process, ensuring that the business scales sustainably while maintaining a robust control environment that protects our market reputation and operational license.

Key Responsibilities:

- Direct the implementation of comprehensive regulatory compliance programs to ensure all capital market activities align with SEBI and other relevant statutory guidelines.

- Monitor daily trade activities and surveillance reports to identify potential irregularities, ensuring proactive risk mitigation for the firm's trading desks.

- Lead interactions with regulatory authorities and external auditors during inspections to demonstrate the efficacy of our internal control frameworks.

- Analyze changes in the regulatory landscape to update internal policies and procedures, keeping the organization ahead of legislative shifts.

Required Skillset:

- Demonstrated expertise in interpreting and applying capital market regulations, with a proven ability to translate complex legal requirements into actionable operational workflows.

- Excellent written and verbal communication skills, essential for drafting regulatory filings and presenting compliance reports to the board.

- Ability to thrive in a high-pressure, on-site environment in Mumbai, maintaining high standards of accuracy and professional judgment under tight deadlines.

- Proven track record of managing compliance functions for 8-10 years within the financial services or investment banking sector.