Capital Allocation/Risk & Compliance Officer

Role Overview:

Estee Advisors is seeking an experienced professional to lead the organisation's capital allocation, risk management and compliance oversight functions.

The role will be responsible for managing and optimising the allocation of the company's proprietary capital across business opportunities and external investments, with a focus on maximising risk-adjusted returns and ensuring efficient capital utilisation.

The individual will also be responsible for establishing an integrated risk management framework and providing strategic oversight of compliance functions across Estee's three business units: Execution & Advisory Services (EAS), Investment Management India and Estee International.

Working closely with the CEO and Business Heads, the individual will play a critical role in strategic capital deployment, investment risk assessment, regulatory governance and enterprise-wide risk management.

Key Roles & Responsibilities:

1. Capital Allocation & Investment Oversight:

- Manage and optimise the allocation of the company's proprietary capital across business opportunities, investment strategies and external investments.

- Evaluate capital deployment opportunities based on expected returns, associated risks, capital efficiency and strategic business objectives.

- Develop and implement capital allocation frameworks to support informed investment and business decisions.

- Assess the risk-return profiles of different investment opportunities and recommend appropriate capital allocation or reallocation.

- Monitor capital utilisation, investment performance and risk-adjusted returns across business units and investment portfolios.

- Identify opportunities to optimise capital deployment while maintaining appropriate risk and liquidity parameters.

- Collaborate with the CEO and Business Heads on strategic investment decisions, capital planning and resource allocation.

2. Enterprise Risk Management:

- Develop and oversee an integrated risk management framework across the organisation's business units.

- Identify, assess and monitor market, credit, liquidity, operational and investment risks.

- Establish appropriate risk appetite frameworks, exposure limits and risk monitoring mechanisms.

- Evaluate portfolio-level and business-level risk exposures to ensure alignment with the organisation's overall risk appetite.

- Oversee stress testing, scenario analysis and risk assessment methodologies to evaluate potential financial and operational vulnerabilities.

- Monitor risk concentrations and emerging risks across investment strategies and business activities.

- Provide independent risk assessments and recommendations to support capital allocation and strategic business decisions.

- Develop consolidated risk reporting frameworks and present key risk insights to the CEO and senior management.

3. Compliance Oversight & Regulatory Governance:

- Provide strategic oversight of compliance teams across EAS, Investment Management India and Estee International.

- Ensure that each business unit maintains appropriate regulatory compliance frameworks, policies and internal controls.

- Work closely with business-level compliance teams to monitor adherence to applicable regulatory requirements and internal policies.

- Establish consistent compliance monitoring, reporting and escalation mechanisms across business units.

- Oversee the identification and management of significant regulatory and compliance risks.

- Review compliance reports, regulatory observations and material compliance matters, ensuring appropriate corrective actions are undertaken.

- Monitor emerging regulatory developments and assess their potential impact on the organisation's business activities.

- Strengthen compliance governance and promote a culture of regulatory accountability across the organisation.

4. Strategic Leadership & Governance:

- Partner with the CEO and Business Heads to align capital allocation, risk management and compliance frameworks with organisational objectives.

- Provide strategic recommendations on capital deployment, investment opportunities, risk exposure and business expansion initiatives.

- Establish effective governance mechanisms to ensure transparency, accountability and informed decision-making.

- Drive coordination across business units to strengthen enterprise-wide risk and compliance oversight.

- Support senior management in evaluating new business opportunities, investment initiatives and strategic partnerships from capital, risk and regulatory perspectives.

- Present consolidated capital allocation, risk and compliance insights to senior management to facilitate strategic decisions.

Required Qualifications & Experience:

- Bachelor's or Master's degree in Finance, Economics, Business Administration, Financial Engineering or a related discipline.

- Professional qualifications such as CFA, FRM, CA or equivalent would be preferred.

- 15+ years of relevant experience in capital allocation, investment management, portfolio risk management, enterprise risk or related financial services functions.

- Demonstrated experience in evaluating investment opportunities and managing or recommending capital allocation across investment strategies, businesses or external investments.

- Strong understanding of financial markets, investment products, trading strategies and risk-adjusted performance evaluation.

- Experience in developing and implementing risk management frameworks within investment management, proprietary trading or financial services organisations.

- Sound understanding of regulatory compliance requirements and experience overseeing or coordinating with compliance functions.

- Experience working with senior leadership on strategic investment, capital management and risk governance decisions.

Key Skills & Competencies:

- Capital Allocation & Investment Evaluation: Ability to evaluate investment opportunities and optimise proprietary capital deployment based on risk-adjusted returns.

- Portfolio & Enterprise Risk Management: Strong understanding of investment risks, portfolio exposures, stress testing and enterprise-wide risk frameworks.

- Financial & Analytical Expertise: Strong quantitative and analytical capabilities to assess investment performance, capital efficiency and financial risks.

- Compliance & Regulatory Governance: Understanding of financial services regulations, compliance frameworks and governance practices.

- Strategic Decision-Making: Ability to translate financial, risk and regulatory insights into actionable business recommendations.

- Leadership & Stakeholder Management: Ability to collaborate effectively with the CEO, Business Heads and functional teams across multiple businesses.

Ideal Candidate Profile:

- The ideal candidate will be a senior financial services professional with strong experience in proprietary capital allocation, investment evaluation and risk management, complemented by an understanding of regulatory compliance and governance.

- The individual should possess the ability to evaluate capital deployment opportunities, assess risk-adjusted returns and contribute meaningfully to strategic investment decisions.

- Experience across investment management, proprietary trading, hedge funds, asset management or diversified financial services businesses would be particularly relevant.