Senior Regulatory Specialist

16 hours ago

Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,50,000

The Compliance Officer is a critical role within our organization, responsible for ensuring we operate in full compliance with relevant regulations. This includes monitoring adherence to IFSCA requirements and implementing robust governance and risk management practices.

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Key Responsibilities:

  • Ensure timely submission of periodic compliances, aligning with IFSCA guidelines and our operational framework.
  • Develop, implement, and monitor compliance policies and internal controls, ensuring alignment with regulatory requirements.
  • Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements.
  • Act as the primary point of contact for regulatory bodies, facilitating inspections, inquiries, and submissions of required reports and disclosures.
  • Monitor and report on regulatory changes, including updates proposed in IFSCA consultation papers.
  • Prepare and submit accurate and timely regulatory filings, including placement memoranda and compliance reports.
  • Advise key stakeholders on compliance-related matters, ensuring all activities are conducted within the IFSC framework.
  • Implement and monitor risk management protocols to mitigate compliance and operational risks.
  • Ensure proper documentation and record-keeping, including investor communications and disclosures.

Qualifications:

  • A professional qualification or post-graduate degree in finance, law, accountancy, business management, commerce, economics, capital market, banking, insurance, or actuarial science.
  • A certification from an organization recognized by IFSCA or a regulator in India or a foreign jurisdiction.
  • Membership of the Institute of Chartered Accountants of India, Institute of Company Secretaries of India, Institute of Cost Accountants of India, or an equivalent institution in a foreign jurisdiction.

Experience:

  • At least 5 years of experience in compliance-related fields, specifically in supervisory and managerial positions within the securities market or financial products.
  • Comprehensive understanding of IFSCA regulations, encompassing the IFSCA (Fund Management) Regulations and the IFSCA (Capital Market Intermediaries) Regulations.

Skills and Competencies:

  • Strong understanding of regulatory frameworks and compliance processes in financial services.
  • Excellent analytical skills with attention to detail in monitoring and reporting.
  • Ongoing commitment to integrity, professionalism, and ethical standards.

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