Compliance Officer

5 days ago

Gandhinagar, Gujarat, India Hireginie Full time ₹ 12,00,000 - ₹ 36,00,000 per year

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.

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