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Compliance Officer

Compliance Officer

Stride VenturesGurugram, Haryana, India
13 days ago
Job description

Key Responsibilities

1) Regulatory Compliance

  • Provide strategic compliance guidance to the Funds and Investment teams, ensuring alignment with applicable compliances and industry best practices.
  • Advise management on global regulatory matters related to Alternative Investment Funds (AIFs), with a focus on identifying and addressing compliance risks.
  • Conduct periodic compliance risk assessments specific to AIF investments.

2) Risk Management & Internal Controls

  • Lead the design and implementation of internal controls to mitigate compliance-related risks, including those related to fraud, data protection, and legal breaches.
  • Conduct ongoing compliance audits and risk assessments to proactively identify and address areas of concern.
  • Investigate compliance breaches or violations, recommend remediation plans, and track corrective actions to closure.
  • Prepare and present compliance reports for senior leadership and regulatory bodies.
  • Liaise with internal and external auditors, facilitating timely and effective audits and reviews.

    • 3) Global Regulatory Reporting

  • Ensure timely and accurate submission of regulatory reports across key jurisdictions including India, GCC, UK and SEA
  • Oversee regulatory filings and interactions with bodies such as SEBI, RBI, the Financial Conduct Authority (FCA), and other international regulators.
  • Lead preparation efforts for regulatory inspections, audits, and reviews, ensuring full compliance and audit readiness.

    • 4) Policy Development & Stakeholder Management

  • Develop, implement, and maintain robust compliance policies, procedures, and manuals in line with evolving regulatory requirements.
  • Conduct periodic reviews and updates to compliance documentation, incorporating regulatory changes and best practices.
  • Respond to compliance inquiries from regulators, clients, and internal stakeholders, ensuring clear and consistent communication.
  • Ensure client-facing documentation and investor communications are compliant with applicable regulatory standards.

    • Qualifications

  • Professional Qualification : Company Secretary (CS)
  • Minimum 10 years of relevant experience in compliance and regulatory affairs, with Alternative Investment Funds (AIFs) ; exposure to Venture Capital or Venture Debt is preferred.
  • In-depth knowledge of regulatory frameworks governing AIFs and strong expertise in compliance risk management.
  • Demonstrated experience in engaging with domestic and international regulatory bodies.
  • Strong analytical skills with high attention to detail and problem-solving orientation.
  • Exceptional written and verbal communication skills.
  • Proven ability to work both independently and collaboratively in a fast-paced environment.
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    Compliance Officer • Gurugram, Haryana, India