Associate Director - Compliance

Job Description

Key roles and responsibilities

1. Regulatory leadership & forward-looking risk anticipation

Track multigeography regulatory change, assimilate implications early, preempt operational impact, and drive readiness with management visibility.

2. Compliance program ownership & execution excellence

Assist in design/refresh and run an enterprise compliance program end-to-end: risk identification, policy/procedure drafting, implementation, monitoring, and ongoing review.

3. Business fluency with credible advisory influence

Work with all business lines, partner with business heads, and deliver practical solutionsbalancing compliance requirements with commercial realities. Ability to interact with Board members.

4. Integrity-driven governance & sensitive issue handling

Strong command of core conduct frameworks (Personal Trading Policy, Code of Ethics, AML) plus the judgment to detect and manage conflicts of interest across verticals and geographies, including escalation where needed.

5. Cross-functional orchestration, investigation mindset & change delivery

Coordination across Risk, Internal Audit, HR, Legal, Rating Controls, etc.; support investigations/response to violations; and drive compliance projects/tools while representing the firm in relevant industry forums.

Experience

• 15+ years of strong exp in regulatory compliance preferably from ratings agencies/BFSI sector (Insurance, Banks, NBFC, MFs, SEBI intermediaries)
• Thorough understanding of regulatory compliance required for regulated businesses in India. Working relationship with SEBI/ RBI preferred.
• Experience in managing Compliance tools, analysis of regulatory changes, and employee compliance like Personal Trading Policy, AML, Anti bribery and corruption, Conflict of Interest for India and abroad (Europe, Americas and APAC).

Skills

• Regulatory knowledge: Deep understanding of compliance laws and regulations across multiple geographies.
• Policy development: Ability to create, update, and implement effective compliance policies and procedures.
• Business acumen: Skill in quickly grasping business operations and advising leaders on compliance matters.
• Integrity and ethical judgment: Strong sense of ethics to manage sensitive issues and conflicts of interest.
• Collaboration and project management: Proven ability to work with cross-functional teams and lead compliance initiatives

Education - CS, LLB, MBA