Compliance Officer

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.