Head of Compliance

Objectives

The Compliance Head ensures the organization’s adherence to all applicable laws, regulations, and internal policies by managing compliance risks, updating frameworks, and fostering a strong culture of integrity. The role primarily focuses on investment-related compliance but also extends to non-investment areas to ensure comprehensive risk management across the organization.

Roles and Responsibilities

• Oversee and ensure compliance with applicable laws, regulations, and internal policies across all business activities.
• Develop, update, and implement compliance frameworks aligned with evolving legal, regulatory, and investment governance standards.
• Monitor regulatory and market developments affecting investment activities and provide timely guidance to management and investment teams.
• Ensure all investment transactions, platform acquisitions, and portfolio company activities comply with relevant laws, regulations, and internal policies.
• Coordinate with investment, legal, and finance teams to assess compliance risks related to fund structures, cross-border transactions, and due diligence processes.
• Manage relationships with external legal counsel on regulatory, arbitration, and dispute matters.
• Conduct compliance risk assessments and implement preventive and corrective measures.
• Deliver training and awareness programs to promote compliance and ethical conduct across the organization.
• Prepare compliance and regulatory reports for senior management, regulators, and external auditors.
• Lead and mentor the Compliance team, ensuring alignment with organizational and investment objectives.

Professional Experience

• Minimum 15 years’ experience in compliance, legal, or risk management, including at least 5 years in a leadership role (preferably within investment or financial services).
• Proven experience in investment compliance, fund governance, and regulatory oversight of transactions.
• Strong ability to design and implement compliance frameworks and manage cross-functional stakeholder relationships.

Educational Qualifications

• Bachelor’s degree in Law, Compliance, or a related field
• Master’s degree in Legal Studies, Regulatory Compliance, or equivalent is preferred
• Professional certification in Compliance, Risk Management, or Corporate Governance (e.g., ICA, CRCM) is highly advantageous