Head of Compliance – RIA | RA | PMS

? Location: Andheri, Mumbai (Work from Office)

? Company: 1% Club (Backed by Gruhas – Nikhil Kamath)

About the Role

We are looking for an experienced Head of Compliance to lead the compliance function for our SEBI-registered Investment Adviser (RIA), Research Analyst (RA), and Portfolio Management Services (PMS) businesses.

This role is ideal for professionals who have directly managed compliance across all three regulated businesses and have hands-on experience dealing with SEBI regulations, BASL audits, inspections, licensing, and regulatory reporting.

Mandatory Experience (Please apply only if you meet these criteria)
- 10–15+ years of compliance experience in financial services
- Hands-on experience managing compliance for:
- SEBI Registered Investment Adviser (RIA)
- SEBI Registered Research Analyst (RA)
- Portfolio Management Services (PMS)
- Experience handling SEBI inspections and BASL audits
- Solid understanding of:
- SEBI Investment Adviser Regulations
- SEBI Research Analyst Regulations
- PMS Regulations




- Experience interacting directly with SEBI and other regulators
- Prior experience as a Compliance Officer, Principal Officer, Head of Compliance, or Chief Compliance Officer is highly preferred.

Key Responsibilities
- Lead the compliance function across RIA, RA, and PMS businesses.
- Ensure adherence to all applicable SEBI regulations.
- Manage SEBI inspections, BASL audits, and regulatory submissions.
- Develop and implement compliance policies, SOPs, and governance frameworks.
- Review advisory, research, marketing, and client communications for regulatory compliance.
- Partner with leadership, product, legal, and business teams on regulatory matters.
- Build scalable compliance processes and monitoring frameworks.

Preferred Background

Candidates from:
- Wealth Management
- Investment Advisory
- Portfolio Management Services
- Research Advisory
- WealthTech
- Broking Firms with RIA/RA/PMS businesses

Work

📌 Head of Compliance – RIA | RA | PMS (Mumbai)
🏢 Neuraleap Technologies Group
📍 Mumbai