Group Compliance Head

Position Overview

The Group Compliance Head will be responsible for establishing and maintaining a robust compliance, governance, and anti-money laundering framework across all regulated and non-regulated businesses within the Analah ecosystem.

The role requires hands-on experience with:

• SEBI Category II AIF Regulations
• PMS & Wealth Management Distribution
• Mutual Fund Distribution (AMFI / ARN)
• Insurance Distribution & Broking (IRDAI)
• Pre-IPO and Unlisted Securities Transactions
• PMLA & AML Compliance
• Regulatory Audits and Inspections

The successful candidate will act as the principal compliance authority and key liaison with regulatory bodies.

Key Responsibilities

Regulatory Compliance & Governance

Lead and oversee compliance across all business verticals and group entities.

Ensure adherence to:

• SEBI (Alternative Investment Funds) Regulations
• SEBI Intermediary Regulations
• PMLA and AML Regulations
• Mutual Fund Distribution Guidelines
• IRDAI Regulations
• Unlisted Securities and Pre-IPO Transaction Frameworks
• Internal Governance Policies

Develop and maintain:

• Compliance Manuals
• Risk Frameworks
• SOPs and Governance Policies
• Regulatory Monitoring Systems

Alternative Investment Fund (AIF) Compliance

Serve as Compliance Officer for the Category II AIF platform.

Responsibilities include:

• PPM compliance monitoring
• Investment restriction monitoring
• Investor reporting and disclosures
• Regulatory filings and reporting
• Fund governance oversight
• Compliance review of investment transactions
• Coordination with trustees, custodians, auditors, and legal advisors

AML / KYC / PMLA Oversight

Act as Principal Officer under PMLA.

Lead:

• Enterprise-wide AML framework
• Client onboarding reviews
• KYC and UBO verification
• Investor due diligence
• Risk categorisation and monitoring
• Suspicious Transaction Reporting (STR)
• FIU-IND reporting obligations
• AML training and awareness initiatives

Ensure robust controls against:

• Money laundering
• Terrorist financing
• Sanctions violations
• Fraud and financial crime

Pre-IPO & Unlisted Investments Compliance

Provide compliance oversight for:

• Unlisted equity transactions
• Secondary market transactions
• Pre-IPO investment opportunities
• Private placement structures

Ensure:

• Suitability assessments
• Investor disclosures
• Documentation standards
• Regulatory compliance reviews
• Transaction audit trails
• Conflict management processes

Risk Management & Internal Controls

Design and implement group-wide risk management frameworks.

Monitor:

• Regulatory risks
• Operational risks
• AML risks
• Reputational risks
• Conduct risks

Conduct:

• Compliance reviews
• Internal audits
• Risk assessments
• Control testing

Develop mitigation strategies and corrective action plans.

Regulatory Liaison & Audit Management

Act as the primary interface with:

• SEBI
• FIU-IND
• AMFI
• IRDAI
• External Auditors
• Legal Advisors

Lead:

• Regulatory inspections
• Compliance audits
• Regulatory submissions
• Show-cause notices and responses
• Governance reporting to management and board committees

Training & Compliance Culture

Drive a culture of ethics, governance, and regulatory excellence.

Conduct regular training programs on:

• AML & PMLA
• Compliance obligations
• Regulatory updates
• Code of Conduct
• Insider Trading Regulations
• Data Privacy & Governance

Qualifications and Skills Education

Education

• Bachelor's Degree in Law, Finance, Commerce, Business Administration, or related discipline

Preferred:

• LLB
• CA
• CS
• CFA
• MBA (Finance)

Certifications (Preferred)

• NISM Certifications
• CAMS (Certified Anti-Money Laundering Specialist)
• Certified Compliance Professional
• Certified Risk Management Qualifications

Experience

Mandatory

• 5+ years of Compliance / AML experience in Financial Services

Preferred Background

Experience with one or more of:

• Alternative Investment Funds (AIF)
• PMS Platforms
• Asset Management Companies
• Wealth Management Firms
• Investment Banks
• Insurance Brokers
• NBFCs
• Family Offices
• Private Market Investment Platforms

Strong working knowledge of:

• SEBI Regulations
• PMLA
• AML Frameworks
• IRDAI Regulations
• Unlisted Securities Regulations
• Fund Structures and Investment Products

Experience handling regulatory inspections, audits, and compliance reporting is essential.

Key Competencies

• Strong Regulatory Knowledge
• Governance & Risk Management Expertise
• AML & Financial Crime Prevention
• Leadership & Stakeholder Management
• Policy Development
• Analytical Thinking
• Decision Making
• High Ethical Standards
• Attention to Detail
• Strong Communication Skills

Compensation & Benefits

• Competitive Fixed Compensation
• Leadership Position within a High-Growth Investment Platform
• Exposure to Alternative Investments, Private Equity & Capital Markets
• ESOP Participation (Subject to Eligibility)