Compliance Head - Global Investment Firm

Our client is a leading Global Credit and Investment firm and is looking to hire a Compliance Head to manage their compliance function in Asia and maintain a strong compliance presence for the firm's regional offices in Singapore and India.

Responsibilities:

- Oversee day-to-day compliance including updating and enforcing the Firm's Compliance Manual and Code of Ethics, regulatory filings, handling issues and questions related to trading activities/investment deals and assisting with AML and background checks related to counterparties on investment deals

- Deliver compliance training (as needed), assist with email review and escalate issues to the Global CCO in ensuring compliance with applicable laws/statutes

- Assist in regulatory and compliance filing activities, reviewing fund activity to detect any potential compliance issues, and implementing and executing corrective actions to compliance issues

- Act as the Firm's primary contact with external regulators, specifically MAS and SEBI

Qualifications:

- The candidate must have India regulatory experience ideally in the private market and ability to manage SEBI given deal flow/pipeline.

- 10+ years of work experience in a compliance or regulatory-related function within an SEC, FCA, SEBI and/or MAS regulated firm or the relevant experience with a law firm or consulting firm

- Additional legal or compliance education and/or law degree is advantageous but not essential

Location : Mumbai