Lead Compliance Officer

2 weeks ago

Ghaziabad, 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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