Compliance Officer

Role & responsibilities

1. Regulatory Compliance: Ensure organization's adherence to IFSCA, SEBI, RBI/FEMA, and SEZ guidelines and all applicable regulatory frameworks.

2. Liaison with Regulators: Liaison with regulators (IFSCA, SEZ or others) in regulatory filings, returns, and compliances.

3. Internal Policies: Develop and implement internal compliance policies and standard Operating procedures(SOPs) in alignment with regulatory requirements. Regularly review internal controls to ensure alignment with regulatory expectations.

4. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required.

5. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively.

6. Training and Awareness: Provide training and guidance to employees on compliance matters, including IFSCA regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization

7. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence.

8. Audit Support: Co-ordinate and support for audit as specified by authorities. Collaborate with auditors to provide necessary documentation and facilitate audit processes.

9. Other Tasks: Responsible for any other tasks assigned by the management from time to time.

Preferred candidate profile