Lead Compliance Officer - Equity/Debt

Key Responsibilities:

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 prioritize regulatory and compliance risks associated with Investment products and conduct periodic compliance risk assessments.

Anti-Money Laundering (AML) & Know Your Customer (KYC):

- 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.

Risk Management & Internal Controls:

- Collaborate to identify, assess, and mitigate compliance-related risks.

- Implement internal controls and procedures to prevent fraud, data breaches, and legal violations.

Global Regulatory Reporting:

- 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.

Policy Development:

- Develop, implement, and maintain compliance policies and procedures.

- Review and update compliance manuals regularly.

Monitoring:

- Conduct regular compliance audits and risk assessments to identify potential issues.

- Prepare compliance reports for senior management and regulatory bodies.

Training and Education:

- Develop and deliver training programs for staff on compliance-related topics.

- Foster a culture of compliance and ethical behavior within the organization.

Investigations and Remediation:

- Investigate compliance breaches or violations and recommend corrective actions.

- Liaise with internal and external auditors as needed.

Regulatory and Client Interaction:

- Address compliance inquiries from regulators, clients and stakeholders.

- Ensure that client-facing documentation meets compliance standards.

Qualifications:

- Professional Qualification - Company Secretary (CS)

- Minimum of 8 years of experience in compliance or regulatory affairs, only 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.