Group Compliance Head

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:
LLB
CA
CS
CFA
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
Qualifications
Education
Bachelor's Degree in Law, Finance, Commerce, Business Administration, or related discipline
Preferred:
LLB
CA
CS
CFA
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
Email Your Cvs: saurabh.mathur@analah.in

Work arrangement
No