Lead Compliance Officer

4 days ago

Gurugram, India Stride Ventures Full time

Key Responsibilities:1) Regulatory Compliance:- Provide regulatory compliance policy advice and guidance to Funds and Markets team.- Management on issues related to global regulatory compliance, marketing and selling investment products and offerings.- Identify and prfioritize regulatory and compliance risks associated with Investment products and conduct periodic compliance risk assessments.2) Anti-Money Laundering (AML) & Know Your Customer (KYC):- Lead the development of AML and KYC processes to prevent financial crime and ensure due diligence during deal-making.- Ensure regular training for employees on compliance-related topics, particularly AML/KYC, insider trading, and regulatory reporting.3) Risk Management & Internal Controls:- Collaborate to identify, assess, and mitigate compliance-related risks.- Implement internal controls and procedures to prevent fraud, data breaches, and legal violations.4) Global Regulatory Reporting:- Manage global reporting requirements, including submissions to SEBI, RBI, the Financial Conduct Authority (FCA), and other local regulators.- Lead interactions with regulatory authorities, preparing the company for audits, inspections, and reviews.5) Policy Development:- Develop, implement, and maintain compliance policies and procedures.- Review and update compliance manuals regularly.6) Monitoring:- Conduct regular compliance audits and risk assessments to identify potential issues.- Prepare compliance reports for senior management and regulatory bodies.7) Training and Education:- Develop and deliver training programs for staff on compliance-related topics.- Foster a culture of compliance and ethical behavior within the organization.8) Investigations and Remediation:- Investigate compliance breaches or violations and recommend corrective actions.- Liaise with internal and external auditors as needed.9) Regulatory and Client Interaction:- Address compliance inquiries from regulators, clients and stakeholders.- Ensure that client-facing documentation meets compliance standards.Qualifications:- Professional Qualification - Company Secretary (CS)- Minimum of 8 years of experience in compliance or regulatory affairs, preferably in Alternative Investment Funds- Strong understanding of relevant laws and regulations affecting Alternative Investment Funds.- Excellent analytical skills and attention to detail.- Strong communication skills, both written and verbal.- Ability to work independently and as part of a team.

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