Chief Compliance Officer - Mutual Funds

Description:

Role Overview

We are seeking an experienced and strategic Chief Compliance Officer (CCO) for a leading Mutual Fund organization. The role requires a seasoned compliance professional with deep expertise in SEBI Mutual Fund Regulations, governance frameworks, regulatory liaison, and enterprise-wide compliance management.

Key Responsibilities:

• Lead and oversee the overall compliance function for the Mutual Fund business.
• Ensure adherence to SEBI Mutual Fund Regulations and all applicable statutory requirements.
• Develop, implement, and strengthen compliance policies, governance frameworks, and internal controls.
• Act as the key point of contact for regulators, auditors, trustees, and senior stakeholders.
• Monitor regulatory changes and drive implementation across business functions.
• Oversee compliance monitoring programs, reporting mechanisms, and risk assessments.
• Provide strategic compliance guidance to senior management and business teams.
• Ensure timely regulatory filings, disclosures, and board/trustee reporting.
• Drive a strong culture of ethics, governance, and regulatory compliance across the organization.

Desired Candidate Profile:

• 12 - 18 years of experience in compliance within Mutual Funds, Asset Management Companies, or financial services.
• Strong expertise in SEBI Mutual Fund Regulations and regulatory frameworks.
• Prior experience in leading compliance teams and interacting with regulators.
• Strong leadership, communication, and stakeholder management skills.
• Ability to manage complex regulatory and governance matters.
• CA/CS/LLB/MBA or relevant qualification preferred.

Preferred Skills:

• Strong regulatory interpretation and policy drafting capabilities.
• Experience handling inspections, audits, and compliance reviews.
• High level of integrity, professionalism, and strategic thinking.