Compliance Officer Location Marol Andheri Mumbai Industry Asset Management Employment Type Full time Experience Level 8-10 Years About the Role We are seeking an experienced and strategic Compliance Officer to join our asset management firm in Mumbai 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 solid 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 Required Qualifications Education Certification Bachelor s degree in Law Commerce Finance or related field Master s degree Professional certifications such as CS Company Secretary NISM Series VIII Compliance Officer CAMS Certified Anti-Money Laundering Specialist or equivalent are mandatory Additional certifications like CFA FRM or specialized compliance qualifications are an advantage Experience 8-10 years of progressive compliance experience in asset management mutual funds portfolio management services or financial services sector Demonstrated experience in managing regulatory inspections and interactions with SEBI RBI Proven track record of building and managing compliance frameworks from the ground up Experience in handling complex compliance matters and providing strategic guidance to leadership Technical Knowledge In-depth knowledge of SEBI regulations securities laws and asset management compliance requirements Familiarity with global compliance standards and best practices Knowledge of fund structures AIFs PMSs and their regulatory frameworks Skills Competencies Strategic thinking with ability to balance compliance requirements and business needs Exceptional analytical problem-solving and decision-making abilities Strong leadership and stakeholder management skills Excellent written and verbal communication skills for regulatory correspondence and presentations Ability to work under pressure and manage multiple complex projects simultaneously High ethical standards and integrity Proficiency in compliance management systems and regulatory reporting platforms What We Offer 5 days working Leadership role with significant organizational impact Performance-based bonuses and long-term incentives Comprehensive health insurance and wellness benefits Professional development and continuous learning opportunities Job Types Full-time Permanent Pay 1 800 000 00 - 2 200 000 00 per year Benefits Health insurance Leave encashment Life insurance Provident Fund Application Question s How many years of experience you have in asset management mutual funds portfolio management services or financial services sector Where do you stay Do you have Knowledge of fund structures AIFs PMSs and their regulatory frameworks Work Location In person

📌 Compliance Officer (Maharashtra)
🏢 Austral International
📍 Maharashtra