Key Responsibilities

Regulatory Compliance:

• Lead and manage firm-wide compliance with SEBI, RBI, IRDAI, and global regulations (e.g., SEC, FCA, FATCA, MiFID, etc.).

• Develop and oversee internal compliance policies, codes of conduct, and control systems aligned with industry best practices.

• Liaise with regulatory bodies and auditors to ensure timely submissions, inspections, and reporting.

• Monitor changes in applicable laws and regulations and update processes accordingly.

Governance & Risk Oversight:

• Serve as the primary advisor to the Board and senior leadership on compliance matters and enterprise risks.

• Establish a comprehensive compliance risk management framework to address operational, financial, and reputational risks.

• Lead internal investigations and resolve regulatory or ethical violations in coordination with legal counsel.

Investment & Operational Compliance:

• Ensure compliance in fund structuring, deal sourcing, due diligence, investment approvals, and exits.

• Oversee compliance reviews of marketing materials, fund documents, and investor communications.

• Collaborate with investment, legal, and finance teams to maintain full transparency and accuracy in reporting and disclosures.

Leadership & Team Development:

• Build and manage a high-performing compliance team across business units and geographies.

• Conduct regular training programs to instill a culture of ethical behavior and regulatory awareness at all levels of the organization.

Technology & Data Integrity:

• Implement regulatory tech (RegTech) solutions to automate compliance monitoring and reporting.

• Ensure robust data privacy and cybersecurity controls in line with global standards (e.g., GDPR, ISO, etc.).

Qualifications