Chief Compliance Officer

Company Overview

Pace Group is a reputable organization operating within the financial services industry, specializing in wealth and asset management. The company emphasizes strong governance, regulatory compliance, and risk management to ensure sustainable growth and regulatory adherence. For more information about the company, visit Pace Group - About Us.

Job Summary

The Chief Compliance Officer (CCO) will lead the compliance function for the Group’s Wealth and Asset Management business. The role is responsible for ensuring adherence to SEBI regulations, strengthening compliance frameworks, managing regulatory relationships, and embedding compliance into business processes. The CCO will work closely with senior management and various stakeholders to maintain regulatory readiness, mitigate risks, and support the organization’s growth initiatives.

Responsibilities

• Lead end-to-end SEBI compliance for the Wealth and Asset Management business, ensuring all regulatory requirements are met.
• Ensure timely regulatory filings, reporting, disclosures, and compliance documentation.
• Handle SEBI inspections, audits, notices, observations, and other regulatory correspondence effectively.
• Monitor regulatory changes and implement necessary policies, processes, and controls to maintain compliance.
• Oversee compliance requirements related to PMS (Portfolio Management Services), AIF (Alternative Investment Funds), KYC (Know Your Customer), client/investor onboarding, disclosures, and investor grievances.
• Review agreements, PPMs (Private Placement Memorandums), policies, and business processes from a compliance perspective.
• Develop and enhance SOPs (Standard Operating Procedures), compliance calendars, monitoring mechanisms, and internal controls.
• Identify regulatory risks and drive timely remediation and closure of compliance gaps.
• Collaborate with Business, Operations, Legal, Finance, and Risk teams to embed compliance into all processes.
• Provide advice to management on regulatory matters and emerging compliance risks.
• Lead and mentor a team of 4–5 compliance professionals.
• Support compliance and governance requirements for new products, structures, and business initiatives.

Qualifications

• 15+ years of experience in compliance within SEBI-regulated financial services.
• Strong hands-on experience in PMS, AIF, and Wealth Management compliance.
• Proven track record in handling SEBI inspections, audits, notices, and regulatory submissions.
• Deep understanding of KYC/AML, client/investor onboarding, regulatory reporting, and disclosures.
• Experience in developing compliance frameworks, policies, SOPs, and internal controls.
• Educational qualifications: Qualified Company Secretary (CS) with an LLB or a strong Legal background.
• Excellent knowledge of regulatory environment and industry best practices.

Preferred Skills

• Experience working closely with Operations, Back Office, and Client Servicing teams.
• Exposure to GIFT City, IFSC, offshore structures.
• Strong leadership and team management skills.
• Excellent communication and stakeholder management abilities.
• Analytical mindset with attention to detail.

Experience

• Minimum of 15 years of relevant experience in compliance, particularly within SEBI-regulated financial services.
• Demonstrated experience in asset management, wealth management, or related financial sectors.
• Proven experience in managing regulatory inspections, audits, and compliance frameworks.

Environment

This role is based in Mumbai and involves working in a professional office environment. The position requires close collaboration with various internal teams and external regulatory bodies. The role may involve occasional travel for regulatory meetings or audits.

Salary

Salary details are not specified and will be commensurate with experience and qualifications.

GrowthOpportunities

Opportunities for career advancement include senior leadership roles within compliance, risk management, or broader executive positions within the organization.

Benefits

Benefits details are not specified; however, the organization typically offers standard industry benefits such as health insurance, paid leave, and professional development support.