Compliance Expert
1 day ago
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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