Compliance Officer

13 hours ago

Gandhinagar, Gujarat, India Hireginie Full time

Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients' wealth through consistent and well-researched strategies.

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

  • Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 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.

Behavioral:

  • Good understanding of Regulatory and Legal affairs of SEBI Compliances.
  • Excellent English verbal and drafting communication skills.
  • Attention to detail and collaborative approach.

Key Stakeholders:

  • Senior Management.
  • Department Heads.
  • SEBI, Depository, Stock Exchanges etc.
  • Other departments etc.

  • Compliance Officer

    4 weeks ago

    Gandhinagar, Gujarat, India Haachi Business Solutions Private Limited Full time

    Job Title: Compliance Officer, GIFT CityLocation: GIFT City, GandhinagarExperience: 5-10 YearsEducation: CA / CS (Chartered Accountant / Company Secretary) highly preferredAbout Our ClientOur client is a rapidly growing Category III Alternative Investment Fund manager, established in September 2022. In under three years, they've quickly achieved significant...

  • Compliance Officer

    3 days ago

    Gandhinagar, Gujarat, India Haachi Business Solutions Private Limited Full time

    Job Title: Compliance Officer, GIFT CityLocation: GIFT City, GandhinagarExperience: 5-10 YearsEducation: CA / CS (Chartered Accountant / Company Secretary) highly preferredAbout Our ClientOur client is a rapidly growing Category III Alternative Investment Fund manager, established in September 2022. In under three years, they've quickly achieved significant...

  • Compliance Officer

    2 weeks ago

    Gandhinagar, Gujarat, India Haachi Business Solutions Private Limited Full time

    Job Title: Compliance Officer, GIFT City Location: GIFT City, Gandhinagar Experience: 5-10 Years Education: CA / CS (Chartered Accountant / Company Secretary) highly preferred About Our Client Our client is a rapidly growing Category III Alternative Investment Fund manager , established in September 2022. In under three years, they've quickly achieved...

  • Compliance Officer

    9 hours ago

    Gandhinagar, Gujarat, India Nuvama Group Full time

    Summary:The Compliance Officer is a key managerial role responsible for ensuring the Fund Management Entity (FME) operates in full compliance with the IFSCA Fund Management, Capital Market Intermediaries Regulations, SEBI FPI regulations and other applicable laws and guidelines.The Compliance Officer oversees the implementation of regulatory and compliance...

  • Compliance Officer

    1 day ago

    Gandhinagar, Gujarat, India Mathisys Full time

    About Us: Mathisys is a global quant firm specializing in high-frequency trading (HFT) strategies for various asset classes in global markets.We excel in both developed and emerging markets.Our expertise in infrastructure and market dynamics, such as latency, execution, and scalability, sets us apart.Position Overview:We are seeking a dedicated and...

  • Compliance Officer

    3 days ago

    Gandhinagar, Gujarat, India Mathisys Full time

    About Us: Mathisys is a global quant firm specializing in high-frequency trading (HFT) strategies for various asset classes in global markets. We excel in both developed and emerging markets. Our expertise in infrastructure and market dynamics, such as latency, execution, and scalability, sets us apart.Position Overview:We are seeking a dedicated and...

  • Compliance Officer

    1 day ago

    Gandhinagar, Gujarat, India Mathisys Full time

    About Us: Mathisys is a global quant firm specializing in high-frequency trading (HFT) strategies for various asset classes in global markets. We excel in both developed and emerging markets. Our expertise in infrastructure and market dynamics, such as latency, execution, and scalability, sets us apart.Position Overview:We are seeking a dedicated and...

  • Compliance Officer

    14 hours ago

    Gandhinagar, Gujarat, India Mathisys Full time

    About Us:  Mathisys is a global quant firm specializing in high-frequency trading (HFT) strategies for various asset classes in global markets. We excel in both developed and emerging markets. Our expertise in infrastructure and market dynamics, such as latency, execution, and scalability, sets us apart. Position Overview: We are seeking a dedicated and...

  • Compliance Officer

    4 weeks ago

    Gandhinagar, Gujarat, India Hireginie Full time

    Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment...

  • Compliance Officer

    5 days ago

    Gandhinagar, Gujarat, India Haachi Business Solutions Private Limited Full time

    Job Title: Compliance Officer, GIFT CityLocation: GIFT City, GandhinagarExperience: 5-10 YearsEducation: CA / CS (Chartered Accountant / Company Secretary) highly preferredAbout Our ClientOur client is a rapidly growing Category III Alternative Investment Fund manager , established in September 2022. In under three years, they've quickly achieved...