Head - Compliance - BFS

Description:

Head of Compliance

Location: Lower Parel & Andheri (MIDC), Mumbai

(Mumbai base required; role may involve occasional travel)

Qualifications:

- Company Secretary (CS) Mandatory

- LLB Mandatory

Role Overview:

The Head of Compliance will be responsible for providing enterprise-wide compliance leadership with a strong focus on Research Analyst Compliance, Institutional Business, and offshore regulatory frameworks.

This role will serve as the principal compliance authority for the organization, ensuring adherence to domestic and international regulatory standards across India, US, Singapore, DIFC, and GIFT City operations.

The incumbent will partner closely with the Board, senior management, and regulators to establish a robust compliance and governance culture.

Key Skills & Experience:

- Significant leadership experience in Compliance within capital markets / institutional financial services.

- Deep expertise in Research Analyst regulations, institutional equity research, and capital markets compliance.

- Strong exposure to cross-border and offshore regulatory environments.

- Proven experience managing regulatory relationships and senior stakeholder interactions.

- Excellent leadership, judgment, and communication skills.

- High ethical standards with a proactive and solution-oriented approach to compliance.

Additional Information:

- Role will require working across Lower Parel and Andheri (MIDC) offices.

- Occasional travel may be required for regulatory engagements or offshore coordination.