17 Ifsca Jobs

As an Assistant in the IBU COO office at DBS Bank Limited IBU, located at GIFT City, Gandhinagar, your main role will be to assist in implementing the DBS Policy and Processes to ensure a sound Risk and Control environment. Your responsibilities will include: - Timely implementation of DBS Policy and Processes - Conducting thematic reviews on AML / CFT and other areas - Improving AML policies and controls as necessary - Tracking for closure of Audit issues and ensuring non-repeat occurrences - Assisting in GL, Nostro, and other reconciliations - Monitoring Key Risk Indicators (KRIs) for governance and control purposes - Actively supporting in RCSA activities for governance and control Your d...

Role Compliance Officer Location GIFT City, Gujarat Experience 3 to 10 yrs Education: CS/CA/CMA/ Bachelor of Laws (LLB) 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. Ensures the entitys readiness for internal audits, statutory audits, and inspections by IFSCA or other regulators. Identify, assess, and mitigate risks associated with asset management activities. New Fund Set up, New Fund Registrations with statutory Bodies as required under IFSCA/ SEZ regulations Review ...

Role & responsibilities Ensuring SEZ and IFSCA compliance and reporting applicable to the entity Ensuring SEZ compliance and reporting applicable to the funds where the entity is a trustee Liaising with the regulators from time to time and responding to queries or requirements received from the regulators Assist in performing KYC, screening and onboarding of investors as per AML norms and internal policy of the entity Review of Non-disclosure agreement or engagement letters Assist the group compliance officer in compliance and secretarial matters Drafting letters, and communications with various stakeholders such as investors, managers, advisors, board members, regulators, service providers,...

Role : Compliance Officer Experience : 7 to 8 Years Qualification : LLB,CA,CS Location : GIFT City- Gandhinagar Job Description : • Ensuring SEZ and IFSCA compliance and reporting applicable to the entity • Ensuring SEZ compliance and reporting applicable to the funds where the entity is a trustee • Liaising with the regulators from time to time and responding to queries or requirements received from the regulators • Assist in performing KYC, screening and onboarding of investors as per AML norms and internal policy of the entity • Review of Non-disclosure agreement or engagement letters • Assist the group compliance officer in compliance and secretarial matters • Drafting letters, and commu...

Role/ Job Title: Compliance and Principal Officer-IBU Function/ Department: Compliance Job Purpose: The role of Compliance Officer (CO) & Principal Officer (PO) at GIFT City IBU is a Designated Position and to be always held by an Approved Individual, as per IFSCA regulations. As CO & PO of the IBU, you need to perform your duties objectively and independently of operational and business functions. You shall have ultimate responsibility for all compliance matters pertaining to IBUs activities. Roles & Responsibilities: Set up & monitoring of robust & sustainable acquisition workflows implementation, processes & initiatives. Advisory support to various business and operations regarding IFSCA ...

Entity name: InCred Alternative Investments Private Limited Job Title: Compliance Officer for FME Location: GIFT City, Gandhinagar, GJ. Department: Compliance Job Summary: The Compliance Officer will be responsible for ensuring adherence to regulatory requirements, internal policies, and compliance frameworks. The role involves monitoring and evaluating internal processes, coordinating regulatory approvals, and ensuring compliance with guidelines set by the IFSCA and other regulatory bodies. Key Responsibilities: ? Develop, implement, and monitor the funds compliance policies, procedures, and controls. ? Ensure the funds strict adherence to IFSCA, and other regulatory frameworks/reportings. ...

Key Responsibilities Manage all company secretarial functions , including convening board, committee, and shareholder meetings, drafting agendas, resolutions, and minutes. Custodian for all Policies and modifications custodian, Monitor compliance calendar for all finance and business compliances, Custodian for all signed Contracts Maintain statutory registers, records, and filings under the Companies Act, 2013 and applicable secretarial standards. File ROC forms, annual returns, and manage compliance for subsidiaries and group entities. Support RBI, IFSCA, SEZ, and NBFC-related compliance including license documentation, AML, KYC, and CFT frameworks. Draft, vet, and review commercial contrac...

Responsible for implementing AML/CFT/KYC policies, conducting risk assessments, and overseeing customer due diligence. Manages regulatory reporting, sanctions screening, and FIU-IND filings. Ensures compliance.

As an integral part of DBS Bank Limited IBU located at GIFT City, Gandhinagar, your role as a key member of the team will involve assisting the IBU COO in implementing DBS Policy and Processes to ensure a robust Risk and Control environment. Your primary responsibilities will include timely implementation of policies, conducting thematic reviews on AML/CFT, enhancing AML policies and controls, tracking closure of Audit issues, assisting in GL and Nostro reconciliations, monitoring KRIs, and actively supporting RCSA activities. You will be expected to assess IBU's compliance with CDD/AML Policy, monitor adherence to internal policies and external regulations, identify control gaps, drive reme...

About the Company - PlusWealth Capital Management , a high-frequency trading organization established in 2008, is a leader in innovative trading solutions. Join us as a Compliance Manager to shape the future of trading. Responsibilities - Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking,...

Responsible for implementing AML/CFT/KYC policies, conducting risk assessments, and overseeing customer due diligence. Manages regulatory reporting, sanctions screening, and FIU-IND filings. Ensures compliance.

Overall Job Description - Regulatory Reporting Facilitate IFSCA onsite and offsite risk-based supervisions and Statutory audit, Internal audit, Concurrent audit, audit walkthrough, RCSA, BCP for IBU branch. Review of various IBU policies and SLAs Providing support and guidance to business, product and functional teams in terms of interpretation of IFSCA guidelines, circulars and doubt clearance thereof. Monitoring of General Banking Operations & Trade finance transactions Monitoring. Name Screening- Conduct sanctions, PEP, Adverse media and other watch list screening Review of alerts for identification for any suspicious activity within TAT Analyzing alerts and investigating customers and de...

Planning, scheduling, and managing the daily workflows of all client deliverables within the team. Responsible to review/prepare of the NAVs for the client for AIF Cat III funds on daily/Monthly basis. Prepare Cash/Position/Market Value Reconciliations and resolving breaks. Notify Clients/CSMs of valid breaks. If break are due to an erroneous or missing transaction in Accounting system, then make necessary adjustments Reviewing pricing of the portfolio as per the IFSCA/SEBI guidelines and analysing the pricing exceptions if any. Reviewing the corporate actions booked in the system and ensuring that the same is correctly reflected in the books. Dividends/Interest Reconciliation with Broker re...

This is regarding opening with a leading Financial Institution as a Chief Regulatory Officer Designation: Chief Regulatory Officer Experience: Minimum 12 years of experience in Regulatory affairs, compliance or with financial institution or Exchange. Location: Gujarat Job Role: Leading the Regulatory Team, providing direction, mentorship, and support; Responsible for securing surveillance of market activities and information technology relating to surveillance; Responsible for presenting regulatory strategies and policies to the board, regulators, and other stake holders; Engagement with Regulators on all the policy-related issues, being part of the Committee advocacy based on fairness and n...

Regulatory & Legal Compliance - IFSCA, SEBI, SEZ, PMS, AIF AML/CFT compliance Prepare & present periodic compliance reports Support in internal audits & regulatory examinations Daily Branch Operations Awareness on legal responsibilities & compliance Required Candidate profile CS or LLB or both preferred 3 to 4 years of relevant experience in compliance or legal roles, preferably in financial services, PMS/AIF, or capital markets SEBI, IFSCA, SEZ, and AML regulations.

Lead the expansion of the IFSCA-regulated business with a clear focus on innovation and scalability Build and manage high-impact teams across compliance, operations, technology, and sales.

Planning, scheduling, and managing the daily workflows of all client deliverables within the team. Responsible to review/prepare of the NAVs for the client for AIF Cat III funds on daily/Monthly basis. Prepare Cash/Position/Market Value Reconciliations and resolving breaks. Notify Clients/CSMs of valid breaks. If break are due to an erroneous or missing transaction in Accounting system, then make necessary adjustments Reviewing pricing of the portfolio as per the IFSCA/SEBI guidelines and analysing the pricing exceptions if any. Reviewing the corporate actions booked in the system and ensuring that the same is correctly reflected in the books. Dividends/Interest Reconciliation with Broker re...