Lead Compliance OfficerStride Ventures • guwahati, India
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Lead Compliance Officer
Stride Ventures • guwahati, India
1 day ago
Job descriptionLead 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. Review and update compliance manuals regularly. 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. Ensure that client-facing documentation meets compliance standards. 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.
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) :
3) Risk Management & Internal Controls :
4) Global Regulatory Reporting :
5) Policy Development :
6) Monitoring :
7) Training and Education :
8) Investigations and Remediation :
9) Regulatory and Client Interaction :
Qualifications :
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Compliance Officer • guwahati, India
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