Strategic Chief Compliance Officer - Asset Management

The Corporate Institute; Hinoba-an; On-site; PHP 4,628,000 - 6,612,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Job description

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.