Chief Compliance Officer

# 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](https://www.pacefin.in/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.