Chief Compliance Officer - Portfolio Management Services

Role: Chief Compliance Officer (CCO)

Industry : Portfolio Management Services (PMS)

Business Stage : Newly Formed PMS

Growth Mandate : Scale to - 2,000 Crore AUM within 12 months

About the Role :

We are looking for a highly accomplished and business-aligned Chief Compliance Officer to build and lead the compliance framework for a fast-growing PMS platform. This is a strategic leadership role requiring strong regulatory expertise, risk governance capability, and the ability to support rapid business expansion while ensuring complete adherence to applicable laws and best practices.

Key Responsibilities :

- Establish and lead the end-to-end compliance function for the PMS business.

- Ensure compliance with SEBI PMS Regulations, AML/KYC norms, FEMA, Companies Act, PMLA, and related guidelines.

- Develop internal policies, SOPs, monitoring systems, and governance controls.

- Liaise with SEBI, exchanges, auditors, custodians, trustees, and legal advisors.

- Oversee client onboarding compliance, disclosures, reporting, and grievance redressal.

- Drive surveillance on trades, insider trading controls, conflict management, and code of conduct adherence.

- Lead regulatory filings, inspections, audits, and board-level compliance reporting.

- Partner with leadership to enable scalable and compliant growth.

- Build and mentor a high-performing compliance team.

Ideal Candidate Profile:

- Qualified CA / CS / LLB / MBA or equivalent.

- 12+ years of experience in compliance within PMS, AIF, Mutual Funds, Wealth, Broking, or Asset Management.

- Deep knowledge of SEBI regulations and financial services governance.

- Strong leadership, stakeholder management, and execution skills.

- Entrepreneurial mindset with ability to work in a high-growth environment.

Success Metrics

- Zero material regulatory breaches.

- Best-in-class governance framework.

- Smooth regulatory readiness for rapid AUM scale-up.

- Trusted compliance partner to business leadership.

Preferred profile

- Direct PMS, AIF/AMC experience

- Has handled SEBI inspections / audits

- Built compliance framework from zero

- Strong AML / surveillance / governance exposure

- Can work closely with founders / CIO / board

- Can scale processes fast without slowing growth