Group Compliance Head

MANDATORY REQUIREMENTS
• Experience in leading enterprise-wide compliance functions.
• Prior experience interacting directly with regulators is essential.
• Experience managing compliance across multiple regulated businesses is highly preferred.

ABOUT THE CLIENT
Our client is a well-established, diversified financial services group based in India, with a multi-decade track record in asset and wealth management. The group serves high-net-worth and ultra-high-net-worth individuals, family offices, and institutional investors, and operates across multiple regulated business lines — including portfolio management services, alternative investment funds, real estate private equity, and wealth advisory.

JOB ROLES & RESPONSIBILITIES
Regulatory Compliance -
• Lead the compliance function across all Group entities.
• Ensure compliance with regulations issued by SEBI, RBI, AMFI, Exchanges, FIU-IND and other applicable regulatory authorities.
• Interpret regulatory developments and advise business leadership on their impact.
• Establish processes for timely implementation of new regulatory requirements.

Compliance Governance -
• Develop and continuously strengthen the Group Compliance Framework.
• Formulate compliance policies, SOPs, governance standards and internal controls.
• Build a robust compliance monitoring and testing programme.
• Present compliance updates to senior management, Board Committees and Audit Committees.

Advisory -
• Partner with business teams during new product launches and strategic initiatives.
• Provide practical compliance solutions while enabling business growth.
• Review complex transactions from a regulatory perspective.
• Support business expansion into new products and regulated activities.

Regulatory Engagement -
• Act as the primary point of contact with regulators.
• Manage regulatory inspections, audits and information requests.
• Ensure timely regulatory filings and reporting obligations.
• Maintain strong relationships with regulatory authorities.

Monitoring & Surveillance -
• Oversee compliance monitoring activities across businesses.
• Identify compliance gaps and implement corrective action plans.
• Drive automation and technology-led compliance monitoring.
• Ensure robust record keeping and documentation

Financial Crime Compliance -
• Supervise AML, KYC and Sanctions Compliance framework.
• Monitor Anti-Bribery & Anti-Corruption compliance.
• Oversee Whistleblower framework and Code of Conduct implementation.
• Ensure effective conflict-of-interest management.

 

 

 

QUALIFICATION & EXPERIENCE
• Qualified Chartered Accountant (CA), Company Secretary (CS), LLB or equivalent professional qualification.
• Additional certifications in Compliance, Risk Management, AML or Financial Crime will be an advantage.
• 15–22 years of post-qualification experience.
• Significant experience within Financial Services.

OTHER DETAILS
Reporting To: CEO
Industry Target: Financial Services
Work Model Arrangement: Onsite