Job Description

What are the ongoing responsibilities of this positionTeam Leadership & Development:
- Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.

Portfolio & Trading Desk Compliance:
- Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.

Stakeholder & Relationship Management:
- Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.

Regulatory Compliance & Reporting:
- Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.

Compliance Systems & Process Oversight:
- Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including current account setup,



rule implementation, and pre/post trade compliance monitoring.

Project Leadership:
- Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.

Training & Change Management:
- Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.

Creative Problem Solving & Risk Mitigation:
- Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.

What qualifications, skills, and experience would help someone to be successfulExperience:
- Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, with a focus on investment compliance.
- Experience working with Indian mutual fund regulations (SEBI, AMFI) acro

📌 Head of Investment Compliance (Mumbai)
🏢 Franklin Templeton
📍 Mumbai