Head - Investment Compliance - Asset Management

Head - Investment Compliance (17-25 yrs) Mumbai

(Open for people willing to relocate to India)

- Lead the Investment Compliance & Controls Monitoring function for the Asset Management business, covering end-to-end investment compliance, controls monitoring and market abuse monitoring.

- Own investment guideline and mandate interpretation, translating client mandates, IMAs, prospectuses and regulatory requirements into clear compliance rules and monitoring frameworks.

- Lead pre-trade and post-trade investment compliance monitoring, including identification, investigation, escalation and resolution of investment breaches.

- Establish and strengthen governance frameworks for investment compliance, controls monitoring, breach management, documentation and reporting.

- Drive the rule lifecycle from requirement interpretation and rule specification through coding, testing, implementation and ongoing review.

- Partner closely with Portfolio Managers, Investment Managers, Trading/Dealing teams, Client Directors, Product, Operations and Technology on investment compliance and control requirements.

- Lead continuous improvement of compliance monitoring through technology, automation, data and analytics, including platforms such as Aladdin and related investment-management ecosystems.

- Oversee controls assurance, testing, regulatory change, audit readiness and remediation across investment compliance activities.

- Provide senior leadership on control effectiveness, risk themes, breaches, emerging regulatory requirements and investment compliance governance.

- Lead and develop a high-performing investment compliance team, driving capability building, operating-model effectiveness and service delivery.

- Work with global stakeholders to establish consistent investment compliance standards and controls across portfolios and funds.

- Drive continuous enhancement of the control environment, including data lineage, evidence management, resilience and technology-enabled monitoring.

Ideal Candidate:

- 15+ years of experience in Investment Compliance / Portfolio Compliance within buy-side Asset Management / Investment Management.

- Strong experience in investment guidelines, mandate/IMA and prospectus interpretation, portfolio compliance and breach management.

- Hands-on understanding of pre-trade and post-trade compliance monitoring and rule coding/testing.

- Experience across multiple asset classes, including equities, fixed income and derivatives; exposure to ESG investment restrictions is advantageous.

- Strong technology/controls orientation, with experience in Aladdin or comparable investment compliance platforms.

- Experience managing senior stakeholders across Investment Management, Trading, Operations, Product, Technology and Risk/Compliance.

- Proven people leadership and experience building/transforming investment compliance or controls-monitoring teams.

- Strong understanding of regulatory requirements, controls assurance, governance and audit/regulatory engagement.

- CFA / FRM or relevant postgraduate qualification would be advantageous.