Role Requirements:

1) Education: Any Post Graduate with full time education may it be CS, LLB, M.Com, MBA.

or Preferably be an MBA with graduation in Engineering.

2) Experience: Should have minimum experience of 7 to 8 years in compliance

teams for AMC with exposure across products of MF, PMS and AIF.

3) Strong analytical skills with expertise in process improvement.

4) Strong understanding of regulatory frameworks and ongoing changes.

5) Excellent ability to manage cross-functional stakeholders.

6) High attention to detail, problem-solving abilities, and a results-oriented

mindset.

Job Purpose:

The incumbent will lead and manage compliance-related projects within the

organization, ensuring alignment with regulatory requirements, company policies,

and industry standards. The role involves coordinating cross-functional teams,

driving timely project delivery, and developing innovative compliance solutions

that mitigate risk while supporting the organization's strategic goals. He/she will

also serve as a key liaison between internal stakeholders and external regulatory

bodies, fostering a culture of compliance and ethical business practices.

Job Specifications:

Role Designation: Program Manager -

Compliance Department: Compliance

Function: Compliance

Company: An Indian-based integrated technology-based financial services firm offering a range of financial products and services such as Private Wealth, Retail Broking and Distribution, Institutional Broking, Asset Management, Investment Banking, Private Equity, Commodity Broking, Currency Broking, and Home Finance.

• Company has delivered good profit growth of 52.7% CAGR over last 5 years
• Company has a good return on equity (ROE) track record: 3 Years ROE 25.3%
• Company's median sales growth is 39.9% of last 10 years

Reporting to: Head – Group Chief

Compliance Officer Location: Mumbai

Key Deliverables

1) Regulatory Compliance:

a. Stay updated on regulatory changes impacting broking and asset

management industries (e.g., SEBI, RBI, AML guidelines).

b. Ensure implementation of new regulations within the organization

through structured projects

.c. Collaborate with compliance teams to conduct gap analyses and

create remediation plans.

2) Stakeholder Engagement:

a. Liaise with internal departments (legal, IT, operations) and external

stakeholders (regulators, auditors) to ensure smooth execution of

compliance projects.

b. Communicate project updates, progress, and challenges to senior

management and relevant stakeholders.

3) Project Management:

a. Develop and manage detailed project plans, timelines, and

budgets for compliance initiatives

b. Monitor project progress, identify risks, and implement mitigation

strategies.

c. Ensure project deliverables align with regulatory requirements and

organizational goals.

4) Process Improvement:

a. Identify opportunities to enhance compliance processes and

implement automation or digital solutions where feasible.

b. Standardize documentation and reporting for compliance-related

projects.

5) Training and Awareness:

a. Conduct training sessions for employees to enhance awareness of

compliance policies and project objectives.

b. Support teams in understanding and implementing compliance

requirements within their respective functions.

6) Audit and Reporting:

a. Support regulatory audits by preparing documentation and

facilitating information requests.

b. Prepare and present project status reports, compliance

dashboards, and post-project reviews.