Compliance Officer

Job Summary

We are seeking a mid level Compliance Officer to ensure the organization's adherence to IFSCA and SEZ and other applicable regulations, oversees AML/CFT frameworks, KYC protocols, internal policies, and manages regulatory reporting, audits and Disclosures. This role demands proactive risk oversight and liaisoning with regulatory authorities.

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.

Qualifications

• A professional qualification including Bachelor of Law or Post-graduate degree in Law, Finance commerce, business management or related discipline from a recognized university/institution.
• Clear understanding of IFSCA regulations and compliance requirements applicable to Investment Advisers.
• Minimum of 2 years of post-qualification experience in compliance roles within the financial services industry, preferably in Investment Advisory, portfolio management services, AIF, Broking House, or Mutual Fund House.
• Strong analytical skills with the ability to assess regulatory requirements and mitigate compliance risks effectively.
• Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.
• Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.
• Must meet the “fit and proper person” criteria as specified by IFSCA.

Join Our Team

If you are a qualified Candidate with a passion for compliance and a track record of success in the financial services industry, we invite you to join us. As our Compliance Officer, you will have the opportunity to ensure regulatory compliance and contribute to the integrity and reputation of our firm. Apply now to be part of our dynamic and growing team.