Compliance Officer

Job Description:

Job Overview:

We are looking for a Compliance Officer with experience in regulatory compliance and risk management to manage IFSCA compliance, regulatory filings, investor due diligence, and governance activities for a financial services entity operating in GIFT City IFSC.

Key Responsibilities:

• Manage IFSCA compliance, regulatory filings, compliance calendars, and regulatory reporting.

• Monitor regulatory updates and ensure timely implementation of applicable guidelines.

• Coordinate with IFSCA regarding regulatory queries, inspections, and information requests.

• Oversee KYC, AML/CFT, FATCA, CRS, sanctions screening, and PEP screening.

• Monitor conflicts of interest, related-party transactions, disclosures, and internal compliance policies.

• Support internal and external audits and ensure adherence to regulatory requirements.

• Coordinate with the Principal Officer, Fund Manager, Board, Trustee, Custodian, Fund Administrator, RTA, banks, auditors, legal counsel, and tax advisors.

• Maintain compliance documentation and records and recommend improvements to internal controls.

• Identify compliance risks and ensure timely resolution of regulatory issues.

Required Qualifications and Skills:

• CA or CS qualification is mandatory.

• Minimum 3 years of experience in compliance or risk management within a listed company or a financial sector-regulated entity.

• Relevant NISM and ICAI/ICSI certifications as mandated by IFSCA for Compliance Officers of Fund Management Entities (FMEs).

• Strong understanding of regulatory compliance, risk management, and governance.

• Excellent analytical, quantitative, and problem-solving skills.

• Strong written and verbal communication skills.

• Proficiency in MS Excel, PowerPoint, and financial databases.

• Ability to work independently and collaboratively in a fast-paced environment.

• High attention to detail, accuracy, and organisational skills.

Preferred Qualifications and Experience:

• Experience with IFSCA/GIFT IFSC regulations.

• Exposure to Alternative Investment Funds (AIFs), mutual funds, Portfolio Management Services (PMS), or investment compliance.

• Experience in AML/KYC processes and regulatory reporting.

• MBA or CFA qualification will be an added advantage.

Personal Attributes:

• High integrity and discretion in handling confidential information.

• Strong ownership, accountability, and commitment to deadlines.

• Proactive and solution-oriented approach to problem-solving.

• Adaptability and willingness to learn in a dynamic work environment.

• Strong interpersonal skills and stakeholder management abilities.

• Interest in startups, entrepreneurship, technology, and responsible business growth.