Chief Compliance Officer – Asset Management

WE ARE HIRING – CHIEF COMPLIANCE OFFICER (CCO) – MUMBAI

This is not a compliance job. This is an institutional mandate.

In financial services, Compliance is not merely about asking whether a policy exists. It asks the harder question: “Are we doing the right thing – and can we stand behind it?”

We are looking for a Chief Compliance Officer (CCO) with 18+ years of experience, including substantial experience in an AMC / Asset Management Company.

Reporting to the MD / CEO, the CCO will play a critical role in strengthening governance, regulatory discipline, risk culture and institutional accountability.

THE MANDATE:

– Formulate and strengthen compliance policies aligned with the SEBI Risk Management Framework, with appropriate Board of AMC and Trustee oversight.

– Drive regulatory change implementation with clear accountability across functions and CXOs.

– Partner with the CRO on compliance risk appetite, thresholds, metrics and reporting.

– Identify and escalate early warning signals, emerging risks, major findings, near misses, loss events and fraud incidents.

– Establish and test RCSA for key compliance risks and controls, and drive corrective actions.

– Ensure timely and accurate regulatory filings and reporting.

– Strengthen scheme-related risk disclosures, insider-trading controls and compliance review of marketing and digital communications.

– Ensure adherence to the DoP and Risk Management Framework.