Compliance Officer - Asset Management Firm

We are seeking an experienced and strategic Compliance Officer to join our asset management firm. This senior role requires a seasoned professional who can independently manage our compliance function, provide strategic guidance to leadership, and ensure robust adherence to regulatory requirements while enabling business growth.

Key Responsibilities:

Strategic Compliance Leadership:

- Lead the compliance function and serve as the primary compliance advisor to senior management and the board

- Develop and implement comprehensive compliance strategies aligned with business objectives and regulatory expectations

- Build and maintain strong relationships with SEBI, RBI, and other regulatory authorities

Regulatory Compliance & Risk Management:

- Ensure full compliance with SEBI regulations including SEBI (Portfolio Managers) Regulations, SEBI (AIF) Regulations, and other applicable guidelines

- Proactively monitor and interpret regulatory changes and assess their impact on business operations

- Design and oversee implementation of enterprise-wide compliance frameworks and controls

- Conduct comprehensive compliance risk assessments and develop mitigation strategies

- Oversee compliance programs and ensure robust KYC processes

Governance & Policy Framework:

- Establish, review, and enhance compliance policies, procedures, and governance frameworks

- Lead compliance committee meetings and provide expert guidance on complex compliance matters

- Develop and maintain compliance manuals, SOPs, and code of conduct

- Ensure effective implementation of compliance culture across the organization

Regulatory Reporting & Liaison:

- Oversee preparation and timely submission of all regulatory filings, returns, and disclosures

- Manage regulatory inspections, examinations, and audits

- Serve as primary point of contact for regulatory authorities and external auditors

- Provide comprehensive compliance reports and presentations to board and senior management

Training & Advisory:

- Design and conduct compliance training programs for employees, including senior management

- Provide expert compliance advice on complex transactions, conflicts of interest, and ethical matters

- Mentor junior compliance team members and build compliance capabilities within the organization

- Stay ahead of industry best practices and emerging compliance trends

Investigation & Remediation:

- Lead investigations into compliance breaches, suspicious activities, and internal violations

- Develop and implement corrective action plans for compliance gaps

- Maintain incident management systems and ensure timely resolution of issues

- Monitor effectiveness of remediation measures.