Head - Compliance - Financial Services - CS + LLB

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