Chief Compliance Officer – Asset Management Leo Placement

The Corporate Institute; Mumbai; Presencial; PHP 4.628.000 - 6.612.000; Jornada completa

Descripción de la vacante

The Corporate Institute in Mumbai seeks a seasoned Chief Compliance Officer to lead governance, risk management and regulatory discipline within a financial services context. The role focuses on ensuring compliant operations, robust risk culture and accountability at the institutional level.

Reporting to the MD/CEO, the CCO will collaborate with CXOs to drive policy development, regulatory change and effective risk reporting across the organization.

Formación

• 18+ years of experience in compliance with substantial AMC/Asset Management exposure.
• Experience aligning policies with regulatory risk frameworks (SEBI) and governance oversight.
• Ability to drive regulatory change and establish risk controls with CXOs.
• Experience in regulatory filings and disclosures.

Responsabilidades

• Formulate and strengthen compliance policies aligned with SEBI Risk Management Framework and oversight.
• Drive regulatory change implementation with accountability across functions and CXOs.
• Partner with the CRO on compliance risk appetite, thresholds, metrics and reporting.
• Identify and manage early warning signals, emerging risks, and major findings.
• Establish and test RCSA for key compliance risks and controls, and drive corrective actions.
• Ensure timely and accurate regulatory filings and reporting.
• Strengthen scheme-related risk disclosures, insider-trading controls and review of marketing and digital communications.
• Ensure adherence to DoP and Risk Management Framework.

Descripción del empleo

WE ARE HIRING – CHIEF COMPLIANCE OFFICER (CCO) – MUMBAI

This is not a compliance job. This is an institutional mandate.

In financial services, Compliance is not merely about asking whether a policy exists. It asks the harder question: “Are we doing the right thing – and can we stand behind it?”

We are looking for a Chief Compliance Officer (CCO) with 18+ years of experience, including substantial experience in an AMC / Asset Management Company.

Reporting to the MD / CEO, the CCO will play a critical role in strengthening governance, regulatory discipline, risk culture and institutional accountability.

THE MANDATE:

• Formulate and strengthen compliance policies aligned with the SEBI Risk Management Framework, with appropriate Board of AMC and Trustee oversight.
• Drive regulatory change implementation with clear accountability across functions and CXOs.
• Partner with the CRO on compliance risk appetite, thresholds, metrics and reporting.
• Identify and escape early warning signals, emerging risks, major findings, near misses, loss events and fraud incidents.
• Establish and test RCSA for key compliance risks and controls, and drive corrective actions.
• Ensure timely and accurate regulatory filings and reporting.
• Strengthen scheme-related risk disclosures, insider-trading controls and compliance review of marketing and digital communications.
• Ensure adherence to the DoP and Risk Management Framework.