Compliance officer

Job Description:

• Regulatory Compliance: Develop, implement, and enforce internal policies to ensure full adherence to applicable laws and regulations.
• Advisory Support: Guide the Board, senior management, and departments on regulatory requirements for transactions, new initiatives, and business activities.
• AML/CFT Oversight: Act as the Principal Officer/AFC Officer. Implement robust AML/CFT/KYC policies, monitor transactions, and report suspicious activities (STRs) to FIU-IND via IFSCA.
• Monitoring & Reporting: Conduct compliance reviews, risk assessments, and implement mitigation strategies.
• Regulatory Coordination: Manage audits, inspections, and ensure timely submission of all reports, compliance certificates, financial statements, and filings to IFSCA, SEZ authorities, SEBI and other exchanges.
• Policy & Controls: Maintain effective internal controls and ensure staff adherence to the Code of Conduct.
• Training: Conduct mandatory compliance training for employees.
• Grievance Redressal: Ensure proper handling and regulatory compliance of investor/customer/SEBI and exchanges complaints.

• Min. 3-5 years of experience
•  Master’s or certifications (CS, LLB) preferred.
• Experience: Proven compliance and risk management experience in financial services, preferably in IFSC or similar jurisdictions.
• Knowledge: Strong understanding of IFSCA regulations, SEZ laws, FATCA guidelines, SEBI and other Exchanges standards.
• Skills: Excellent analytical, communication, and problem-solving skills; integrity, attention to detail, and ability to work independently.
• Proficiency in MIS.