Assistant Vice President – Capital Compliance – CA Scaleneworks

The Corporate Institute; Mumbai; On-site; INR 3,600,000 - 5,400,000; Full time

Job summary

The Corporate Institute in Mumbai seeks an experienced AVP of Compliance to lead capital markets regulatory programs and maintain strong controls. You will oversee regulatory adherence, work with leadership, and ensure our trading and capital operations meet evolving standards.

In this on-site role, you will monitor surveillance, manage regulator interactions, and guide policy updates to mitigate operational risk while supporting strategic growth and regulatory integrity.

Qualifications

• Broad knowledge of Indian capital market regulations and SEBI guidelines.
• Ability to translate legal requirements into practical controls and processes.
• Strong communication for board-level regulatory reporting.
• Experience leading compliance in high-pressure trading environments.

Responsibilities

• Direct development and execution of regulatory compliance programs for capital market activities.
• Monitor daily trading surveillance and reports to detect anomalies and mitigate risks.
• Liaise with regulatory authorities and external auditors during inspections and audits.
• Assess regulatory developments and update internal policies to stay ahead of changes.

Skills

Capital market regs

Regulatory filings

Risk management

Stakeholder comms

Job description

Role Overview:

We are seeking a seasoned AVP of Compliance to lead our Capital Markets regulatory framework in Mumbai. In this pivotal role, you will oversee the firm’s adherence to complex financial regulations, ensuring that our trading activities and capital operations remain fully compliant with evolving market standards. You will work closely with senior leadership, internal audit teams, and external regulatory bodies to mitigate operational risks and uphold the firm’s integrity. Your work will directly influence our strategic decision-making process, ensuring that the business scales sustainably while maintaining a robust control environment that protects our market reputation and operational license.

Key Responsibilities:

• Direct the implementation of comprehensive regulatory compliance programs to ensure all capital market activities align with SEBI and other relevant statutory guidelines.


• Monitor daily trade activities and surveillance reports to identify potential irregularities, ensuring proactive risk mitigation for the firm’s trading desks.


• Lead interactions with regulatory authorities and external auditors during inspections to demonstrate the efficacy of our internal control frameworks.


• Analyze changes in the regulatory landscape to update internal policies and procedures, keeping the organization ahead of legislative shifts.

Required Skillset:

• Demonstrated expertise in interpreting and applying capital market regulations, with a proven ability to translate complex legal requirements into actionable operational workflows.


• Excellent written and verbal communication skills, essential for drafting regulatory filings and presenting compliance reports to the board.


• Ability to thrive in a high-pressure, on-site environment in Mumbai, maintaining high standards of accuracy and professional judgment under tight deadlines.


• Proven track record of managing compliance functions for 8-10 years within the financial services or investment banking sector.