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About the Role: We are looking for a Compliance Officer (Company Secretary) to take full ownership of the regulatory compliance function for SEBI-registered entities, including AIFs, PMS, and RIAs. This is a critical leadership role in a dynamic investment platform, ideal for professionals with strong experience in asset management and financial services compliance. Key Responsibilities: - Regulatory Compliance & Governance: Develop, implement, and manage compliance policies for SEBI-registered entities. Ensure timely and accurate regulatory filings and oversee audits. - Stakeholder & SEBI Liaison: Act as the primary contact with SEBI, handle regulatory inspections, and provide updates to senior leadership, including the Board and Audit Committee. - Strategic Compliance Advisory: Collaborate with the product team to ensure regulatory alignment for new financial products and lead licensing initiatives (e.g., Mutual Funds). - Risk & Process Management: Monitor regulatory changes, assess risks, and implement best governance practices. - Team Leadership: Manage and mentor a team of compliance professionals, ensuring a strong culture of compliance within the organization. What We're Looking For: - Experience: 5-10 years in compliance roles within SEBI-regulated financial services (AIF, PMS, RIA, Mutual Funds preferred). - Expertise: Strong knowledge of SEBI regulations, compliance audits, and risk management frameworks. - Leadership & Communication: Ability to engage with regulators, board members, and internal teams effectively. - Proactive Mindset: Someone who can anticipate regulatory changes and drive compliance initiatives proactively.

Mumbai

Compliance Officer - SEBI Regulated Business 

Job Description for Compliance Officer - SEBI Regulated Business  in Master Mind Consultancy in  Mumbai for (5-10) years of experience. Apply Now!

Compliance Officer - SEBI Regulated Business  | iimjobs.com