Compliance Officer

4 weeks ago

Ahmedabad, Gujarat, India Steptrade Capital Full time

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.

(ref:iimjobs.com)

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