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.