Compliance Officer

7 days ago

Gandhinagar, India Adhaan Hiring Edge Solution Pvt Ltd Full time

**Job Description: Compliance Officer**

Location: GIFT Gandhinagar, Gujarat

**Job Summary**:
**Responsibilities**:
1. Regulatory Compliance: Ensure organization's adherence to IFSCA, SEBI, RBI/FEMA, and SEZ guidelines and all applicable regulatory frameworks.

2. Liaison with Regulators: Liaison with regulators (IFSCA, SEZ or others) in regulatory filings, returns, and compliances.

3. Internal Policies: Develop and implement internal compliance policies and standard Operating procedures(SOPs) in alignment with regulatory requirements. Regularly review internal controls to ensure alignment with regulatory expectations.

4. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required.

5. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively.

6. Training and Awareness: Provide training and guidance to employees on compliance matters, including IFSCA regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization

7. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence.

8. Audit Support: Co-ordinate and support for audit as specified by authorities. Collaborate with auditors to provide necessary documentation and facilitate audit processes.

9. Other Tasks: Responsible for any other tasks assigned by the management from time to time.

**Qualifications**:

- A professional qualification including Bachelor of Law or Post-graduate degree in Law, Finance commerce, business management or related discipline from a recognized university/institution..
- Clear understanding of IFSCA regulations and compliance requirements applicable to Investment Advisers.
- Minimum of 2 years of post-qualification experience in compliance roles within the financial services industry, preferably in Investment Advisory, portfolio management services, AIF, Broking House, or Mutual Fund House.
- Strong analytical skills with the ability to assess regulatory requirements and mitigate compliance risks effectively.
- Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.
- Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.
- Must meet the “fit and proper person” criteria as specified by IFSCA.

**Join Our Team**:
Pay: ₹300,000.00 - ₹600,000.00 per year

Work Location: In person

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