Position Overview

The Group Compliance Head will be responsible for establishing and maintaining a robust compliance, governance, and anti-money laundering framework across all regulated and non-regulated businesses within the Analah ecosystem.

The role requires hands-on experience with:

- SEBI Category II AIF Regulations
- PMS & Wealth Management Distribution
- Mutual Fund Distribution (AMFI / ARN)
- Insurance Distribution & Broking (IRDAI)
- Pre-IPO and Unlisted Securities Transactions
- PMLA & AML Compliance
- Regulatory Audits and Inspections

The successful candidate will act as the principal compliance authority and key liaison with regulatory bodies.

Key Responsibilities

Regulatory Compliance & Governance

Lead and oversee compliance across all business verticals and group entities.

Ensure adherence to:

- SEBI (Alternative Investment Funds) Regulations
- SEBI Intermediary Regulations
- PMLA and AML Regulations
- Mutual Fund Distribution Guidelines
- IRDAI Regulations
- Unlisted Securities and Pre-IPO Transaction Frameworks
- Internal Governance Policies

Develop and maintain:

- Compliance Manuals
- Risk Frameworks
- SOPs and Governance Policies
- Regulatory Monitoring Systems

Alternative Investment Fund (AIF) Compliance

Serve as Compliance Officer for the Category II AIF platform.

Responsibilities include:

- PPM compliance monitoring
- Investment restriction monitoring
- Investor reporting and disclosures
- Regulatory filings and reporting
- Fund governance oversight
- Compliance review of investment transactions
- Coordination with trustees, custodians, auditors, and legal advisors

AML / KYC / PMLA Oversight

Act as Principal Officer under PMLA.

Lead:

- Enterprise-wide AML framework
- Client onboarding reviews
- KYC and UBO verification
- Investor due diligence




- Risk categorisation and monitoring
- Suspicious Transaction Reporting (STR)
- FIU-IND reporting obligations
- AML training and awareness initiatives

Ensure robust controls against:

- Money laundering
- Terrorist financing
- Sanctions violations
- Fraud and financial crime

Pre-IPO & Unlisted Investments Compliance

Provide compliance oversight for:

- Unlisted equity transactions
- Secondary market transactions
- Pre-IPO investment opportunities
- Private placement structures

Ensure:

- Suitability assessments
- Investor disclosures
- Documentation standards
- Regulatory compliance reviews
- Transaction audit trails
- Conflict management processes

Risk Management & Internal Controls

Design and implement group-wide risk management frameworks.

Monitor:

- Regulatory risks
- Operational risks
- AML risks
- Reputational risks
- Conduct risks

Conduct:

- Compliance reviews
- Internal audits
- Risk assessments
- Control testing

Develop mitigation strategies and corrective action plans.

Regulatory Liaison & Audit Management

Act as the primary interface with:

- SEBI
- FIU-IND
- AMFI
- IRDAI
- External Auditors
- Legal Advisors

Lead:

- Regulatory inspections
- Compliance audits
- Regulatory submissions
- Show-cause notices and responses
- Governance reporting to management and board committees

Training & Compliance Culture

Drive a culture of ethics, governance, and regulatory excellence.





Conduct regular training programs on:

- AML & PMLA
- Compliance obligations
- Regulatory updates
- Code of Conduct
- Insider Trading Regulations
- Data Privacy & Governance

Qualifications and Skills Education

Education

- Bachelor's Degree in Law, Finance, Commerce, Business Administration, or related discipline

Preferred:

- LLB
- CA
- CS
- CFA
- MBA (Finance)

Certifications (Preferred)

- NISM Certifications
- CAMS (Certified Anti-Money Laundering Specialist)
- Certified Compliance Skilled
- Certified Risk Management Qualifications

Experience

Mandatory

- 5+ years of Compliance / AML experience in Financial Services

Preferred Background

Experience with one or more of:

- Alternative Investment Funds (AIF)
- PMS Platforms
- Asset Management Companies
- Wealth Management Firms
- Investment Banks
- Insurance Brokers
- NBFCs
- Family Offices
- Private Market Investment Platforms

Strong working knowledge of:

- SEBI Regulations
- PMLA
- AML Frameworks
- IRDAI Regulations
- Unlisted Securities Regulations
- Fund Structures and Investment Products

Experience handling regulatory inspections, audits, and compliance reporting is essential.

Key Competencies

- Strong Regulatory Knowledge
- Governance & Risk Management Expertise
- AML & Financial Crime Prevention
- Leadership & Stakeholder Management
- Policy Development
- Analytical Thinking
- Decision Making
- High Ethical Standards
- Attention to Detail
- Strong Communication Skills

Compensation & Benefits

- Competitive Fixed Compensation
- Leadership Position within a High-Growth Investment Platform
- Exposure to Alternative Investments, Private Equity & Capital Markets
- ESOP Participation (Subject to Eligibility)

📌 Group Compliance Head (Mumbai)
🏢 Analah Capital
📍 Mumbai