Group Compliance Manager

About the role

This position is the central compliance lead for a fast-growing, multi-licensed platform. The successful candidate will own regulatory compliance across several business verticals and create the compliance framework from the ground up. This is a senior, hands-on role suited to someone who has worked in complex environments with multiple licences and can design compliance systems that scale with growth.

Experience across licence categories such as AIF, merchant banking, investment banking, and similar regulated structures is preferred. The role also calls for strong practical exposure to SEBI and RBI requirements gained through work with regulated financial services organisations.

Key responsibilities

• Take end-to-end ownership of compliance across all licensed businesses and act as the designated compliance officer for SEBI and RBI registrations.
• Create and manage the compliance calendar, internal audit process, and reporting framework across different service lines.
• Handle regulatory communications, inspection responses, and ongoing coordination with SEBI, RBI, and other relevant authorities.
• Assess product structures, fee models, carry arrangements, and investor documents to ensure they meet regulatory standards.
• Oversee KYC, AML, and PMLA compliance for all entities and fund structures within the group.
• Coordinate with external legal counsel while gradually bringing routine compliance functions in-house.

Candidate profile

• At least 10 years of experience in compliance or regulatory functions within financial services businesses regulated by SEBI or RBI.
• Experience working in multi-entity group setups where compliance duties are distributed across separate legal entities with different registrations.
• Practical exposure to at least two licence categories beyond AIF, such as merchant banking, investment banking, PMS, mutual funds, or NBFCs (Type I/II).
• Familiarity with structured instruments and transactions including OCDs, CCDs, debentures, secondary transfers, and fund-of-funds structures.
• Previous responsibility as a designated or principal compliance officer with direct accountability for filings and regulatory obligations.
• Working understanding of PMLA, FEMA, and SEBI regulations.
• LLB is preferred; CS or CA qualifications are also valued.
• Strong commercial mindset with the ability to independently build and own a compliance function.

Eligibility

Applicants should hold an LLB in any specialization. Candidates with CS or CA qualifications are also preferred.

Additional information

This opportunity is based in Mumbai, India. The role is intended for a senior professional who can establish scalable compliance infrastructure for a high-growth organisation operating across multiple regulated verticals.