2.0 - 7.0 years

3 - 8 Lacs

gandhinagar

Work from Office

Compliance Officer for Broking, Global Access Market, Distribution & Insurance in GIFT City, Gandhinagar. This is a full-time, on-site role. Key Responsibilities: - Ensure compliance with IFSCA regulations & AML/CFT processes - Lead client operations & risk management - Drive business growth & expand distribution networks - Regulatory Compliances & Reporting with SEZ, IFSCA, Exchanges etc. - Preparation of Policies, SOPs, noted etc. Qualifications: - Post-graduate/professional degree in finance, law, or related fields - 5+ years experience in capital markets or financial services - Strong regulatory & leadership expertise

Posted 1 day ago

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Compliance Manager - AMC Waytogo Consultants

3.0 - 7.0 years

0 Lacs

ahmedabad, gujarat

On-site

As a Compliance Manager, your primary responsibility will be monitoring the compliance of SEBI Regulations and International Financial Services Centers Authority (IFSCA) regulations. You will be expected to ensure timely reporting by the Asset Management Company (AMC) and address any exceptions in compliance to SEBI, IFSCA, the Board of AMC, and the Trustees. Additionally, you will be required to submit periodical reports to regulators, the Association of Mutual Funds in India (AMFI), the Board of Trustees, and the AMC in a timely manner. It will also be part of your role to handle and resolve investor grievances promptly. In this position, you will be vetting and approving various communications to investors such as advertisements, factsheets, posters, etc. Furthermore, you will be responsible for maintaining the Compliance Manual and updating the management on any changes in the regulatory environment. As a Compliance Manager, you will play a crucial role in approving personal trades by employees and providing guidance on the employee dealing policy. You will also be involved in checking and filing Draft Offer Documents, additional features, and proposals with IFSCA for approval, while effectively coordinating between IFSCA and the AMC. Overall, your contributions as a Compliance Manager will be essential in ensuring the AMC's adherence to regulatory requirements, promoting transparency, and maintaining trust with investors and regulatory bodies.,

Posted 6 days ago

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Compliance Officer The Premier Consultants ( Recruitment Company )

5.0 - 8.0 years

0 Lacs

ahmedabad, gujarat, india

On-site

This is regarding job opening for Compliance Officer role with A leading Private Bank in Ahmedabad. JD:- Key Responsibilities: Ensure adherence to all applicable laws, regulations, and guidelines issued by IFSCA, RBI, and other regulatory bodies. Develop, implement, and maintain the compliance framework for the IBU. Monitor regulatory developments and assess their impact on IBU operations. Conduct periodic compliance risk assessments and internal reviews. Review and approve new products, services, and processes from a compliance perspective. Liaise with internal stakeholders to ensure timely resolution of compliance issues. Prepare and submit regulatory reports and returns as required. Coordinate and support regulatory inspections and audits. Conduct training and awareness programs for IBU staff on compliance matters. Maintain records of compliance breaches and ensure timely corrective actions. Support implementation of systems for customer risk categorization, AML/CFT monitoring, and regulatory reporting. Key Requirements: Education: MBA/CA/CS/Postgraduate in Law, Finance, or related field. Experience: Minimum 58 years of experience in banking compliance, preferably with exposure to international banking or offshore units. Knowledge: Strong understanding of IFSCA regulations, FEMA, AML/CFT guidelines, and international banking operations. Interested candidates can share their cv on [HIDDEN TEXT] OR call on 8511915231. Show more Show less

Posted 2 weeks ago

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Compliance Officer Skillventory

3.0 - 8.0 years

4 - 7 Lacs

Ahmedabad

Work from Office

Role & responsibilities Company Secretary + LLB (optional) having 5 years of experience in Securities Market (3 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

Posted 1 month ago

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