Steptrade Capital
3 weeks ago
Compliance Officer
Job Summary:
We are seeking a Compliance Officer particularly within the financial services or AIF & PMS sector. The candidate will be responsible for ensuring that all operations of the fund comply with regulatory requirements and internal policies.
Key Responsibilities:
- Monitor and ensure compliance with SEBI regulations, RBI guidelines, and other applicable laws governing AIFs.
- Develop, implement, and update compliance policies and procedures to reflect regulatory changes and industry best practices.
- Conduct regular compliance risk assessments and internal audits to identify potential risks and recommend corrective actions.
- Design and deliver compliance training programs for staff to foster a culture of compliance within the organization.
- Prepare accurate and timely compliance reports for management and regulatory authorities, ensuring timely submission and accuracy.
- Act as the primary liaison with regulatory bodies and internal stakeholders on compliance matters, addressing inquiries and issues as they arise.
- Utilize technology and data analytics to enhance compliance monitoring processes and reporting Master's degree in Business Administration, Finance, Law, or a related field, or a Company Secretary qualification.
- Minimum of 3 years of experience in a compliance role, preferably in the AIF & PMS.
- Strong knowledge of regulatory frameworks applicable to AIFs & PMS and related compliance requirements.
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