Compliance Officer for Alternative Investment Funds
1 month ago
Larson Maddox is seeking a seasoned Compliance Officer to join our team in Mumbai, India. As a Vice President of Compliance, you will be responsible for overseeing compliance matters for our onshore India operations and working closely with the Global CCO and SEBI.
Key Responsibilities:
- Compliance Oversight: Supervise compliance activities for onshore businesses in India to ensure adherence to local regulations.
- Regulatory Guidance: Provide guidance to central compliance teams, such as Financial Crime Compliance and the Anti-bribery Group, from a local regulatory perspective.
- Regulatory Change Management: Stay informed about regulatory changes, assess their impacts, and drive their implementation.
- Relationship Management: Cultivate and manage regulatory relationships, participate in industry forums to support organizational goals.
- Policy Development: Develop, draft, and revise compliance policies and procedures outlining firm requirements and best practices.
- Audit and Compliance: Lead regulatory and internal audits, conduct ad-hoc compliance training, and coordinate regulatory reporting, including suspicious transaction reporting.
- Collaboration: Collaborate with various firm departments on initiatives and projects, including Controllers, Operations, Legal, and Internal Audit.
- External Partnerships: Engage with external partners like law firms, audit firms, fund administrators, and trustees.
- Board Representation: Represent Compliance in board and committee meetings involving senior management.
Qualifications:
- Education: Bachelor's degree in Finance, Business, Law, or related field. An advanced degree is preferred.
- Experience: Extensive experience in Compliance for Alternative Investment Funds within the onshore India business. Open for candidates with both primary and secondary market experience.
- Regulatory Knowledge: Strong understanding of local regulatory requirements and best practices.
- Leadership Skills: Demonstrated track record in policy development, regulatory analysis, and relationship management.
- Communication Skills: Excellent communication and stakeholder engagement skills.
- Leadership: Ability to effectively lead audits, training programs, and regulatory reporting processes.
Company Information
Larson Maddox is a leading alternative investment firm with a strong presence in the APAC region.
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