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Compliance Officer

Stride VenturesGurugram, Haryana, India

10 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

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