Lead Compliance Officer

3 days ago


Gurugram, India Stride Ventures Full time

Key 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 prioritize regulatory and compliance risks associated with Investment products and conduct periodic compliance risk assessments.

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.

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.

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.

Policy Development:

- Develop, implement, and maintain compliance policies and procedures.

- Review and update compliance manuals Conduct regular compliance audits and risk assessments to identify potential issues.

- Prepare compliance reports for senior management and regulatory bodies.

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.

Investigations and Remediation:

- Investigate compliance breaches or violations and recommend corrective actions.

- Liaise with internal and external auditors as needed.

Regulatory and Client Interaction:

- Address compliance inquiries from regulators, clients and stakeholders.

- Ensure that client-facing documentation meets compliance 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.

(ref:iimjobs.com)
  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India IPA Indus Parking Services Pvt. Ltd. Full time

    Indus Parking Services (IPS) is an emerging parking enforcement company located in the heart of Gurugram, India. We are a team of focused, determined, and enthusiastic professionals with expertise in managing parking spaces. We can deter unauthorized parking in commercial property, residential areas, and other places. Indus Parking Services takes care of the...

  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India IPA Indus Parking Services Pvt. Ltd. Full time

    Indus Parking Services (IPS) is an emerging parking enforcement company located in the heart of Gurugram, India. We are a team of focused, determined, and enthusiastic professionals with expertise in managing parking spaces. We can deter unauthorized parking in commercial property, residential areas, and other places. Indus Parking Services takes care of the...

  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India IPA Indus Parking Services Pvt. Ltd. Full time

    Indus Parking Services (IPS) is an emerging parking enforcement company located in the heart of Gurugram, India. We are a team of focused, determined, and enthusiastic professionals with expertise in managing parking spaces. We can deter unauthorized parking in commercial property, residential areas, and other places. Indus Parking Services takes care of the...


  • Gurugram, India Stride Ventures Full time

    Key Compliance:- Develop and implement compliance policies that adhere to regulatory requirements in each jurisdiction (India, UAE, UK, Europe, US).- Oversee compliance monitoring and audits to ensure that the Holding Company and its funds follow SEBI, RBI, FCA, and other relevant regulations.- Monitor changes in regulations and assess their impact on the...


  • Gurugram, India UNLOCK BUSINESS CONSULTING Full time

    Position - Chief Compliance OfficerLocation – GurugramExperience – 15 – 20 years (min. 3 years in NBFC compliance) The Compliance Officer's primary responsibility will be to lead compliance and regulatory vertical ,to ensure that the organization (and its employees) are following the rules and regulations of regulatory agencies, company policies and...


  • gurugram, India UNLOCK BUSINESS CONSULTING Full time

    Position - Chief Compliance OfficerLocation – GurugramExperience – 15 – 20 years (min. 3 years in NBFC compliance) The Compliance Officer's primary responsibility will be to lead compliance and regulatory vertical ,to ensure that the organization (and its employees) are following the rules and regulations of regulatory agencies, company policies and...

  • Compliance Officer II

    4 weeks ago


    Gurugram, India HELLA Full time

    Compliance Officer II Location Gurugram - Haryana, India FORVIA HELLA is a listed, international automotive supplier. Coming together with Faurecia in the FORVIA Group, we build the world's seventh largest supplier of automotive technologies. As a global market leader in high-growth areas, FORVIA employs 157,000 people worldwide. FORVIA HELLA therein...

  • Compliance Officer Ii

    4 weeks ago


    Gurugram, Haryana, India Hella Full time

    **Compliance Officer II** Location Gurugram - Haryana, India FORVIA HELLA is a listed, international automotive supplier. Coming together with Faurecia in the FORVIA Group, we build the world's seventh largest supplier of automotive technologies. As a global market leader in high-growth areas, FORVIA employs 157,000 people worldwide. FORVIA HELLA therein...


  • Gurugram, Haryana, India Onnsynex Ventures Pvt Ltd Full time

    **Job Overview: - ** **Job Title: - ** **Customs Compliance Officer** **Department**: **Legal & Compliance** **Job Location**: **HO, Sector-43, Gurgaon** **Educational Qualification: Graduate** **Required Qualification: BA/MBA/LLB/LLM** **Experience Required: 10+ years** **Gender preference (if any)**:Male** The Customs Compliance Officer is...

  • Compliance Lead

    4 months ago


    Gurugram, India JLL Full time

    JLL empowers you to shape a brighter way . Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where...

  • Compliance Officer

    5 months ago


    Gurugram, India RedeFin Capital Full time

    Job DescriptionKey role of the candidate is to carry out the compliances under the Companies Act, 2013 and other applicable laws, handling legal cases, ensuring compliances under applicable insurance laws for corporate agents, drafting of various agreements, etc. The candidate will also work with the CEO for central functions involving Board reporting and...

  • Manager Compliance

    5 months ago


    Gurugram, India AMEX Full time

    You Lead the Way. Weve Got Your Back With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities, and each other. Here, youll learn and grow as we help you create a...

  • Compliance Auditor

    3 weeks ago


    Gurugram, India Stap Management Consultants Full time

    Urgently looking for Compliance Auditors for reputed liaison office based in Gurgaon .Location - Gurgaon - Responsible for new factory onboarding onsite assessments/verifications to ensure that the new factory complies with ORGANISATION's Coc and Minimum social and Labour requirements.- Coordinate with Factory standards programme at HQ team on day to...

  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India Onnsynex Ventures Pvt Ltd Full time

    **Skills Required**: - **Should have excellent knowledge of IGCR, EPCG,ADVANCE AUTHORISATION, NOTIFICATIONS RELATED ADDITIONAL DUTY/DUTY EXEMPTION SCHEMES,IDPMS/EDPMS, SEZ Compliances**: - Strong understanding of custom laws, regulations and procedures, with specific expertise in HS code classification and duty calculation - **Familiarity with duty saving...

  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India Lamiwood Full time

    **Job Summary**: The Accounts and Finance Executive will play a crucial role in supporting the CFO with a broad spectrum of financial and accounting tasks. This includes ensuring compliance with direct and indirect taxation, assisting with tax audits, and managing challan deposits. The individual will be a key player in maintaining financial health and...

  • Compliance Officer

    5 months ago


    Gurugram, Haryana, India Onnsynex Ventures Pvt Ltd Full time

    **Skills Required**: - **Should have excellent knowledge of IGCR, EPCG,ADVANCE AUTHORISATION, NOTIFICATIONS RELATED ADDITIONAL DUTY/DUTY EXEMPTION SCHEMES,IDPMS/EDPMS, SEZ Compliances**: - Strong understanding of custom laws, regulations and procedures, with specific expertise in HS code classification and duty calculation - **Familiarity with duty saving...


  • Gurugram, Haryana, India GoComet India Pvt. Ltd. Full time

    **Roles& Responsibilities** - Responsible for ensuring that the organization complies with all relevant laws, regulations, and policies. - Monitor and analyze changes in laws and regulations that may impact the organization and advise management on the implications of these changes. - Responsible for developing and implementing compliance programs, policies,...

  • Compliance Manager

    5 months ago


    Gurugram, India Ericsson Full time

    Description About this opportunity! We are looking for an Ericsson Group Management System (EGMS) Compliance Manager to be part of a team of experts within the Group Management System and Group Process Management Office / GFGO Strategy & Ericsson Management System / Group Management System and Group Process Management, driving global core EGMS...


  • Gurugram, Haryana, India GoComet India Pvt. Ltd. Full time

    **Roles& Responsibilities** - Responsible for ensuring that the organization complies with all relevant laws, regulations, and policies. - Monitor and analyze changes in laws and regulations that may impact the organization and advise management on the implications of these changes. - Responsible for developing and implementing compliance programs, policies,...

  • Director, Compliance

    5 months ago


    Gurugram, India GLG Full time

    Position Summary The GLG Compliance team is looking to hire a Gurugram-based Director of Compliance. This is an excellent opportunity for an experienced, client-centric professional to lead, coach, and support local compliance professionals, drive exceptional performance, take a primary role in assessing and implementing process improvements, and...