Compliance Officer

3 weeks ago

Ahmedabad, India Wave HR and Advisory Pvt Ltd Full time

Work 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, etc.

- To maintain SOPs and checklist for all the compliance requirements for the entity and funds

Experience: Minimum 5 years of experience in compliance or secretarial professionally qualified CA, CS, CMA, Certified Public Accountant (CPA), CFA or a post-graduate degree in finance, accountancy, business management, commerce, economics, taxation, or a degree in law from a university or an institution recognized by the UGC or AICTE or such other equivalent authority in India

Skills:

- Good communication skill (should be fluent in English)

- Learning/adaptability skills

- basic computer skills like Microsoft Office, and internet navigation

(ref:iimjobs.com)

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