Compliance Expert

1 day ago


Gurgaon, Haryana, India Stride Ventures Full time
Job Description

Overview

Stride Ventures is seeking a highly skilled Compliance Officer to join our team. As a key member of the organization, you will be responsible for ensuring that all regulatory compliance requirements are met.

Key Responsibilities:

  • 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.
  • 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.
  • Collaborate to identify, assess, and mitigate compliance-related risks.
  • Implement internal controls and procedures to prevent fraud, data breaches, and legal violations.
  • 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.
  • Develop, implement, and maintain compliance policies and procedures.
  • Conduct regular compliance audits and risk assessments to identify potential issues.
  • Prepare compliance reports for senior management and regulatory bodies.
  • Develop and deliver training programs for staff on compliance-related topics.
  • Foster a culture of compliance and ethical behavior within the organization.
  • Investigate compliance breaches or violations and recommend corrective actions.
  • Liaise with internal and external auditors as needed.
  • Address compliance inquiries from regulators, clients, and stakeholders.

Requirements:

  • 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

Salary Range: ₹30-40 lakhs per annum, depending on experience

Benefits: Competitive salary, comprehensive health insurance, paid time off, and opportunities for professional growth and development


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