Lead Compliance Officer
2 weeks ago
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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Lead Compliance Officer
2 weeks ago
bangalore, India Stride Ventures Full timeKey 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...
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Compliance Officer
3 weeks ago
bangalore, India InBrok (IFSC) Private Limited Full timeCompliance Officer (CO) – InBrok (IFSC) Private Limited Location: GIFT City – IFSC , Gandhinagar Employment Type: Full-time | On-site Department: Compliance & Regulatory Affairs --- About InBrok InBrok is an emerging-market broker-dealer in the IFSC ecosystem, positioned at the intersection of regulatory innovation, and next-generation capital markets...
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Compliance Officer
7 days ago
bangalore, India SKS Enterpprises - Human Resource Planning and Management Full timeJob Title: Compliance Officer & Manager – Finance & Accounts Location: GIFT City, Gandhinagar Years of experience - 3 About the Role We are looking for a dynamic professional who is a Chartered Accountant (CA)/ Company Secretary (CS) to lead compliance and manage finance functions for our Fund operations in GIFT City. This is a dual-role position involving...
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Compliance Officer
7 days ago
bangalore, India SKS Enterpprises - Human Resource Planning and Management Full timeJob Title: Compliance Officer & Manager – Finance & AccountsLocation: GIFT City, GandhinagarYears of experience - 3 About the RoleWe are looking for a dynamic professional who is a Chartered Accountant (CA)/ CompanySecretary (CS) to lead compliance and manage finance functions for our Fund operations in GIFTCity. This is a dual-role position involving...
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Compliance Officer
3 days ago
bangalore, India Tipsons Group Full timeWe are looking for a detail-oriented and proactive Compliance Officer to ensure adherence to regulatory frameworks and internal policies across our organisation. Key Responsibilities: Ensure full compliance with SEBI guidelines , circulars, and requirements applicable to market intermediaries. Monitor updates and changes in relevant laws, regulations, and...
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2 weeks ago
bangalore, India FatakPay Full timeJob Title: Compliance Officer (with NBFC Experience only ) Location: Mumbai, India Reporting To: Chief Executive Officer / Head of Compliance Department: Compliance Job Summary: We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable...
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Compliance Officer
3 days ago
bangalore, India FatakPay Full timeJob Title: Compliance Officer (with NBFC Experience only ) Location: Mumbai, India Reporting To: Chief Executive Officer / Head of Compliance Department: Compliance Job Summary: We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable...
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Compliance Officer
2 weeks ago
bangalore, India FatakPay Full timeJob Title: Compliance Officer (with NBFC Experience only)Location: Mumbai, IndiaReporting To: Chief Executive Officer / Head of ComplianceDepartment: Compliance Job Summary:We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable...
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Litigation & Compliance Officer
2 weeks ago
bangalore, India Hoora Full timeJob Title : Litigation & Compliance OfficerCompany: Hoora TechnologiesLocation: Nagpur (In-office)Reports to: CEO Experience: 5+ years in Legal, Compliance, or Grievance ManagementEmployment Type: Full-time (On-Site)Salary: INR 8-15 LPAJob MissionYou will be Hoora's internal expert focused on preventive legal action and grievance resolution. Your primary...
