Independent Regulatory Compliance Officer

5 days ago

Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000
Compliance Specialist

Job Title: Compliance Specialist

About the Role:

This role focuses on ensuring adherence to 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:

The ideal candidate will be responsible for:

  • Ensuring regulatory compliance by staying updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs.
  • Monitoring regulatory changes and effectively communicating updates to relevant stakeholders.
  • Ppreparing and submitting accurate and timely regulatory reports as required by SEBI and IFSCA.
  • Establishing and maintaining a system for ongoing monitoring of compliance activities related to AIF operations.
  • Conducting regular audits and assessments to identify areas of non-compliance or potential risks. Implementing remedial measures as needed.
  • Managing internal audits.
  • AAML/CFT compliance and monitoring.
  • Coordination with custodian/fund accountant/fund admin.
  • Reviewing and drafting legal agreements.

Requirements:

The successful candidate will have:

  • Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
  • Excellent English verbal and drafting communication skills.
  • Attention to detail and collaborative approach.

Benefits:

The successful candidate will enjoy working in a dynamic environment with:

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

  • Compliance Officer

    2 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 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...

  • Regulatory Compliance Specialist

    23 hours ago

    Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000

    Regulatory Compliance OfficerWe are seeking a highly skilled Regulatory Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring that all regulatory requirements are met and maintained.The ideal candidate will have excellent communication and interpersonal skills, with the ability to build strong...

  • Regulatory Compliance Specialist

    2 days ago

    Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,00,00,000

    Regulatory Compliance SpecialistThe purpose of this role is to oversee the entire lifecycle of regulatory compliance across our organization. This includes conducting comprehensive product audits, monitoring and implementing daily regulatory requirements, and ensuring adherence to regulatory standards.We are seeking an experienced Regulatory Reporting...

  • Chief Regulatory Compliance Specialist

    5 days ago

    Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 28,00,000

    Compliance Officer RoleThis role is responsible for ensuring adherence to regulatory requirements, internal policies, and compliance frameworks.The Compliance Officer will be accountable for monitoring and evaluating internal processes, coordinating regulatory approvals, and ensuring compliance with guidelines set by the relevant authorities.Develop,...

  • Compliance Officer

    6 days 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 Officer

    5 days ago

    Gandhinagar, Gujarat, India InCred Capital Full time

    Entity name: InCred Alternative Investments Private LimitedJob Title: Compliance Officer for FMELocation: GIFT City, Gandhinagar, GJ.Department: ComplianceJob Summary: The Compliance Officer will be responsible for ensuring adherence to regulatoryrequirements, internal policies, and compliance frameworks. The role involves monitoring andevaluating internal...

  • Compliance Officer

    3 days ago

    Gandhinagar, Gujarat, India InCred Capital Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Entity name: InCred Alternative Investments Private LimitedJob Title: Compliance Officer for FMELocation: GIFT City, Gandhinagar, GJ.Department: ComplianceJob Summary: The Compliance Officer will be responsible for ensuring adherence to regulatoryrequirements, internal policies, and compliance frameworks. The role involves monitoring andevaluating internal...

  • Compliance Officer

    4 days ago

    Gandhinagar, Gujarat, India InCred Capital Full time

    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...

  • Compliance Officer

    3 days ago

    Gandhinagar, Gujarat, India InCred Capital Full time

    Entity name: InCred Alternative Investments Private LimitedJob Title: Compliance Officer for FMELocation: GIFT City, Gandhinagar, GJ.Department: ComplianceJob Summary: The Compliance Officer will be responsible for ensuring adherence to regulatoryrequirements, internal policies, and compliance frameworks. The role involves monitoring andevaluating internal...