Compliance Officer

We are looking for an experienced candidate for the role of Compliance Officer to join Unifi Investment Management LLP (UIML), GIFT City, IFSC, Gandhinagar.

The successful candidate will work closely with the Principal Officer to ensure regulatory compliance, risk management, and governance across the organization.

Role –

Designation –

Location

Experience –

Key Responsibilities:

• Ensure adherence to relevant laws, regulations, and industry standards applicable
• The focus is to act as an oversight to the compliance and operations and to ensure that the  activities align and implemented on time as per the regulatory requirements.
• Assist with operational inputs, MIS reports, and execution of strategic initiatives.
• Ensures the entity’s readiness for internal audits, statutory audits, and inspections by IFSCA or other regulators.
• Identify, assess, and mitigate risks associated with asset management activities.
• Provide regular reports to the Principal Officer and other stakeholders on compliance and risk management matters.
• Work closely with the Principal Officer and other teams to ensure seamless coordination and effective risk management.

Desirable Skills:

• Professional Qualification:

Membership of the following or any institution equivalent thereto in a foreign jurisdiction:

• Institute of Chartered Accountants of India;
• Institute of Company Secretaries of India;
• Institute of Cost Accountants of India; Or
• Bachelor of Laws (LLB) from a university or an institution recognised by the Central Government or any State Government or a recognised foreign university or institution or association.

• Work experience:

Relevant experience of at least three (3) years in related activities in a portfolio manager, fund manager, investment advisor, broker dealer, investment banker, wealth manager, research analyst, credit rating agency, market infrastructure institution, financial sector regulator.

• Excellent understanding of regulatory frameworks applicable to asset management in India, such as SEBI/IFSCA/RBI/AML-CFT regulations.
• Excellent analytical, problem-solving, and communication skills.

Note:

Only candidates meeting the aforementioned eligibility requirements shall apply for the role.

About Unifi Investment Management LLP (UIML):

UIML is an offshoot of Unifi Capital- one of India’s largest independent portfolio managers with a legacy of more than 24 years. Unifi’s combined AUM as of March 2025 was USD 2.7B.

More details are available on website: