Senior Manager, Compliance & Ethics, India Lead

Location: Mumbai

The Senior Manager, Compliance & Ethics, India Lead is a senior practitioner role serving as the primary compliance resource for CFA Institute's India entity (CFAIIPL), while supporting for the organization's conflict of interest process. The role sits within the CFA Institute India team and reports directly to the Director, Business Operations, India and is supported by Head of Compliance & Ethics.

Working closely with the India business leadership and the role delivers the C&E program across the India business, including conducting risk assessments, advising stakeholders on compliance requirements, operationalizing global policies and procedures in the local (India) context, and designing and delivering compliance training. At a global level, the role supports and manages the conflict-of-interest process end-to-end, ensuring it remains effective, consistently applied, and fit for purpose across CFA Institute's global operations.

The role also carries responsibility for India regulatory compliance, serving as the first line of defense for risk and compliance matters within CFAIIPL and acting as the organization's liaison with Indian regulatory authorities. This includes managing statutory obligations, supporting the Board and AGM processes, and working closely with local stakeholders on non-financial compliance reporting and record-keeping.

CFA Institute is a not-for-profit organization and is not financially regulated. This is a compliance and ethics role, not a financial or investment compliance role. We are not looking for candidates whose experience is primarily in banking, investment, or other financial services compliance.

The responsibilities of this position include, but are not limited, to the following:

Compliance & Ethics Program - India

• Serve as the primary compliance resource and advisor for CFA Institute's India entity, engaging proactively with local business teams to ensure compliance with applicable local laws, regulations, and organizational policies.
• Conduct compliance risk assessments for India operations and use outputs to inform program priorities and advise stakeholders.
• Support the implementation and operationalization of global compliance policies and procedures within the India business context, adapting approaches to meet local regulatory and operational realities.
• Monitor India regulatory developments, assess potential impacts on the operations, and advise leadership on necessary adjustments to policies, controls, and procedures.
• Design and deliver compliance and ethics training programs for India employees, ensuring relevance to both local requirements and global CFA Institute compliance standards.
• Advise India business leadership and stakeholders on Indian compliance requirements, governance expectations, and the practical application of organizational policies.
• Build and maintain productive relationships across CFA Institute's India business lines and functions, serving as a trusted compliance advisor.
• Global Conflict of Interest Program
• Support and manage CFA Institute's global conflict of interest process end-to-end, including disclosure management, review, escalation, and reporting.
• Support maintaining and enhancing COI policies, procedures, and related guidance, ensuring they remain current, practical, and aligned with organizational and regulatory requirements.
• Support development and delivery of COI-related training and awareness communications across the organization.
• Monitor COI disclosures, support identify and escalate potential issues, and maintain accurate records and reporting metrics.

Regulatory Compliance

• Responsible for implementing the First Line of Defense for Risk & Compliance for CFAIIPL in India.
• Record, assess, and report all non-financial compliance matters related to CFAIIPL operations; implement and monitor changes to compliance requirements arising out of internal or local external changes as applicable to CFAIIPL.
• Work closely with other local internal stakeholders to complete filing, reports, and record keeping of all non-financial compliance.· Monitor changes to local compliance requirements and keep requirements updated and completed.
• Collaborate with the local Compliance team member(s) to implement and report on CFAIIPL compliance standards.
• Arrange and monitor mandatory and necessary regulation-required compliance training for CFAIIPL staff.
• Manage the end-to-end conduct of Board Meetings and the AGM, including statutory compliances as applicable to CFAIIPL.
• Policy documentation wherever necessary for CFAIIPL.

General

Contribute as a support to global C&E projects and initiatives as required.

Collaborate with Legal, People & Culture, ERM, and Internal Audit to support consistent compliance practices and issue resolution across the organization.

Contribute to compliance reporting and preparation of materials for India leadership and governance discussions.

Promote a strong culture of integrity, accountability, and ethical conduct through proactive stakeholder engagement

We offer a comprehensive benefits package to support our employees, including health coverage, generous time off, competitive retirement plans, flexible work options, and wellbeing and development programs. You can learn more on our careers site: Working at CFA Institute | Comprehensive Benefits

About CFA Institute

CFA Institute is the global leader in investment excellence and ethics. With nearly 200,000 charterholders across 160 markets, we promote professional growth, uphold ethical standards, and help advance better financial markets. Join a global organization committed to putting investors first.

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Important Message: Your application must clearly demonstrate how you meet the requirements as CFA Institute cannot make assumptions about your education, experience, or location. We thank all those who apply.

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