Website:
analah.com
Job details:
About Analah
Analah is a global investment and wealth platform providing access to differentiated investment opportunities across Private Equity, Venture Capital, Alternative Investment Funds (AIFs), Portfolio Management Services (PMS), Mutual Funds, Insurance, Real Estate, Global Markets, and Pre-IPO / Unlisted Investments.
The platform serves High-Net-Worth Individuals (HNIs), Ultra-HNIs, Family Offices, Institutional Investors, Wealth Managers, Financial Advisors, and Strategic Distribution Partners globally.
As part of our growth and regulatory framework, we are seeking an experienced Group Compliance Head to lead compliance, governance, risk management, AML, and regulatory affairs across all group entities.
Role Overview
The Group Compliance Head will be responsible for establishing and maintaining a robust compliance, governance, and anti-money laundering framework across all regulated and non-regulated businesses within the Analah ecosystem.
The role requires hands-on experience with:
- SEBI Category II AIF Regulations
- PMS & Wealth Management Distribution
- Mutual Fund Distribution (AMFI / ARN)
- Insurance Distribution & Broking (IRDAI)
- Pre-IPO and Unlisted Securities Transactions
- PMLA & AML Compliance
- Regulatory Audits and Inspections
The successful candidate will act as the principal compliance authority and key liaison with regulatory bodies.
Key Responsibilities
Regulatory Compliance & Governance
Lead and oversee compliance across all business verticals and group entities.
Ensure adherence to:
- SEBI (Alternative Investment Funds) Regulations
- SEBI Intermediary Regulations
- PMLA and AML Regulations
- Mutual Fund Distribution Guidelines
- IRDAI Regulations
- Unlisted Securities and Pre-IPO Transaction Frameworks
- Internal Governance Policies
Develop and maintain:
- Compliance Manuals
- Risk Frameworks
- SOPs and Governance Policies
- Regulatory Monitoring Systems
- Alternative Investment Fund (AIF) Compliance
Serve as Compliance Officer for the Category II AIF platform.
Responsibilities include:
- PPM compliance monitoring
- Investment restriction monitoring
- Investor reporting and disclosures
- Regulatory filings and reporting
- Fund governance oversight
- Compliance review of investment transactions
- Coordination with trustees, custodians, auditors, and legal advisors
- AML / KYC / PMLA Oversight
Act as Principal Officer under PMLA.
Lead:
- Enterprise-wide AML framework
- Client onboarding reviews
- KYC and UBO verification
- Investor due diligence
- Risk categorisation and monitoring
- Suspicious Transaction Reporting (STR)
- FIU-IND reporting obligations
- AML training and awareness initiatives
Ensure robust controls against:
- Money laundering
- Terrorist financing
- Sanctions violations
- Fraud and financial crime
Pre-IPO & Unlisted Investments Compliance
Provide compliance oversight for:
- Unlisted equity transactions
- Secondary market transactions
- Pre-IPO investment opportunities
- Private placement structures
Ensure:
- Suitability assessments
- Investor disclosures
- Documentation standards
- Regulatory compliance reviews
- Transaction audit trails
- Conflict management processes
Risk Management & Internal Controls
Design and implement group-wide risk management frameworks.
Monitor:
- Regulatory risks
- Operational risks
- AML risks
- Reputational risks
- Conduct risks
Conduct:
- Compliance reviews
- Internal audits
- Risk assessments
- Control testing
Develop mitigation strategies and corrective action plans.
Regulatory Liaison & Audit Management
Act as the primary interface with:
- SEBI
- FIU-IND
- AMFI
- IRDAI
- External Auditors
- Legal Advisors
Lead:
- Regulatory inspections
- Compliance audits
- Regulatory submissions
- Show-cause notices and responses
- Governance reporting to management and board committees
Training & Compliance Culture
Drive a culture of ethics, governance, and regulatory excellence.
Conduct regular training programs on:
- AML & PMLA
- Compliance obligations
- Regulatory updates
- Code of Conduct
Insider Trading Regulations
- Data Privacy & Governance
Qualifications Education
Bachelor's Degree in Law, Finance, Commerce, Business Administration, or related discipline
Preferred:
Certifications (Preferred)
- NISM Certifications
- CAMS (Certified Anti-Money Laundering Specialist)
- Certified Compliance Professional
- Certified Risk Management Qualifications
Experience
Mandatory
10+ years of Compliance / AML experience in Financial Services
Preferred Background
Experience with one or more of:
- Alternative Investment Funds (AIF)
- PMS Platforms
- Asset Management Companies
- Wealth Management Firms
- Investment Banks
- Insurance Brokers
- NBFCs
- Family Offices
- Private Market Investment Platforms
Strong working knowledge of:
- SEBI Regulations
- PMLA
- AML Frameworks
- IRDAI Regulations
- Unlisted Securities Regulations
- Fund Structures and Investment Products
Experience handling regulatory inspections, audits, and compliance reporting is essential.
Key Competencies
- Strong Regulatory Knowledge
- Governance & Risk Management Expertise
- AML & Financial Crime Prevention
- Leadership & Stakeholder Management
- Policy Development
- Analytical Thinking
- Decision Making
- High Ethical Standards
- Attention to Detail
- Strong Communication Skills
- Alternative Investment Funds (AIF)
- PMS Platforms
- Asset Management Companies
- Wealth Management Firms
- Investment Banks
- Insurance Brokers
- NBFCs
- Family Offices
- Private Market Investment Platforms
Strong working knowledge of:
- SEBI Regulations
- PMLA
- AML Frameworks
- IRDAI Regulations
- Unlisted Securities Regulations
- Fund Structures and Investment Products
Experience handling regulatory inspections, audits, and compliance reporting is essential.
Key Competencies
- Strong Regulatory Knowledge
- Governance & Risk Management Expertise
- AML & Financial Crime Prevention
- Leadership & Stakeholder Management
- Policy Development
- Analytical Thinking
- Decision Making
- High Ethical Standards
- Attention to Detail
- Strong Communication Skills
Share Your Cvs: saurabh.mathur@analah.in
Click on Apply to know more.
