Compliance Officer

Our Client:

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

• Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
• Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
• Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
• Ensure the completeness and accuracy of data submitted in these reports.
• Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
• Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed.
• Managing Internal Audits.
• AML/CFT compliance and monitoring.
• Coordination with Custodian/Fund Accountant/Fund Admin.
• Review/drafting of legal agreements.

Behavioral:

• Good understanding of Regulatory and Legal affairs of SEBI Compliances.
• Excellent English verbal and drafting communication skills.
• Attention to detail and collaborative approach.

Key Stakeholders:

• Senior Management.
• Department Heads.
• SEBI, Depository, Stock Exchanges etc.
• Other departments etc.