Head - Investment Compliance & Controls Monitoring
MumbaiFull-timeHybrid15–27 yrsPosted 6 days ago
Leadership legal role at M&G Global Services in Mumbai. Needs 15+ years and a B.Com, MBA or CFA. Hybrid.
About the role
The Head of Investment Compliance is a senior leadership role accountable for Controls Monitoring, Market Abuse Monitoring and covering the end-to-end investment compliance capability. The capability includes client mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, governance reporting, and continuous control enhancement across portfolios/funds managed by the Asset Management business.
What you'll do
- Lead governance routines, executive updates, and risk forums; provide clear MI and insights on compliance health, emerging risks, and remediation progress
- Act as the senior “control owner” for Investment Compliance processes, ensuring appropriate design effectiveness and sustainable oversight
- Oversee fund/portfolio onboarding and mandate change implementation end-to-end: interpretation → rule specification → coding → testing → go-live assurance
- Oversee the operational performance and control outcomes of pre-trade and post-trade guideline monitoring (automated and manual where required)
- Oversee the team’s control monitoring and market abuse monitoring outcomes
What you need
- Compliance
- Capital markets
- Power BI
- SQL
- PowerPoint
- Documentation
Good to have
- CFA
- VBA
- Root cause analysis
- Internal audit