Client Services and Compliance Officer

Job Title: Client Services and Compliance Officer

Company: Consulven IFSC Private Limited

Location: GIFT City, Gandhinagar, Gujarat

Reporting To: Board of Directors

Employment Type: Full-Time

Experience: 3–5 years of relevant experience in compliance, regulatory operations.

Job Purpose:

To ensure seamless delivery of client onboarding and support services while maintaining strict adherence to applicable regulatory and compliance requirements under the International Financial Services Centres Authority (IFSCA) framework. This hybrid role involves interfacing with clients and ensuring compliance with all laws, guidelines, and internal policies—particularly around AML/CFT, KYC, and regulatory filings.

Key Responsibilities:

1. Client Services & Operations:

• Act as the primary contact for client onboarding, documentation, and post-onboarding support.
• Coordinate with clients to collect KYC/AML documentation in line with IFSCA's onboarding and due diligence requirements.
• Ensure timely resolution of client queries and service requests in coordination with internal departments.
• Maintain accurate and up-to-date client records and relationship logs.

2. Compliance Oversight:

• Monitor compliance with applicable IFSCA regulations, including those relating to fund management, capital markets, AML/CFT, and governance standards.
• Ensure timely preparation and filing of statutory and regulatory reports to IFSCA and other relevant authorities.
• Keep abreast of regulatory developments and update internal processes accordingly.
• Liaise with IFSCA on compliance-related matters and coordinate during inspections or reviews.

3. AML/CFT Implementation:

• Conduct client due diligence (CDD), enhanced due diligence (EDD), and ongoing monitoring in accordance with IFSCA AML/CFT Guidelines.
• Identify and report Suspicious Transaction Reports (STRs) and Cash Transaction Reports (CTRs) to the FIU-IND.
• Implement sanction screening processes (UN, OFAC, domestic lists, etc.) for all clients and transactions.

4. Policy Management & Internal Controls:

• Assist in drafting, reviewing, and maintaining internal compliance policies and standard operating procedures (SOPs).
• Support internal audits and compliance reviews to ensure adherence to control frameworks.
• Maintain logs and registers related to compliance breaches, regulatory correspondence, and corrective actions.

5. Reporting & Governance Support:

• Prepare periodic compliance updates and dashboards for management and board review.
• Support the preparation of material for regulatory audits, Board Compliance Committee meetings, and investor reports (if applicable).
• Escalate compliance or operational concerns to appropriate internal stakeholders and assist in resolution.

Key Qualifications & Skills:

• Bachelor's degree in Law, Commerce, Finance, or a related discipline.
• Certifications in AML/Compliance (e.g., ICA, CAMS, NISM) are preferred.
• 3–5 years of relevant experience in compliance, regulatory operations, or client services within financial services, especially within IFSC or SEZ environments.
• Familiarity with IFSCA regulations, Companies Act, SEBI guidelines, and AML/CFT obligations.
• Strong attention to detail, communication skills, and an ability to handle confidential information discreetly.

Regulatory Compliance Notes:

• The compliance responsibilities of the role shall be executed independently and free from any conflict of interest as required by IFSCA.
• The individual will be designated as the Compliance Officer for regulatory purposes, unless a separate Compliance Officer is appointed by the Board.
• All responsibilities must comply with the IFSCA (AML, Fund Management, Intermediaries, and Capital Market) Regulations, as applicable to Consulven IFSC.