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Compliance Officer

2 weeks ago

Gandhinagar, Gujarat, India Fiducrest Full time ₹ 40,000 - ₹ 60,000 per year

Role Summary

The Compliance Officer will support the Principal Officer in ensuring that the Fund Management Entity operates in full compliance with all applicable laws, regulations, and internal policies. This role focuses on day-to-day compliance operations, regulatory reporting, and maintaining adherence to GIFT City and IFSCA guidelines while supporting the overall compliance framework.

Key Responsibilities

Regulatory Compliance & Monitoring

  • Support ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines
  • Assist in end-to-end compliance with IFSCA, SEZ, SEBI and related regulatory frameworks
  • Prepare and file periodic reports, including monthly, quarterly, and annual filings with IFSCA
  • Ensure timely submission of regulatory forms, including AIF returns, KYC, and AML reporting
  • Monitor compliance with investment guidelines and fund mandates

Policy Implementation & Documentation

  • Implement and monitor the fund's compliance policies, procedures, and controls as established by the Principal Officer
  • Maintain and update compliance manuals, SOPs, and internal policies
  • Assist in reviewing Fund Documents, Constitutional Documents and Policies
  • Maintain physical and digital filing systems for statutory and operational documents

Financial Reporting & Operational Support

  • Support timely preparation of financial statements, audit support files, and reports for the AIF and FME
  • Coordinate with fund administrator/fund accountant for timely NAV calculations
  • Assist in reconciliation of bank accounts, investor contributions, investments, and expenses
  • Ensure accuracy of compliance-related financial reporting

Stakeholder Coordination

  • Coordinate with auditors, legal advisors, tax consultants, and regulators under supervision
  • Coordination with Administrator, Bank custodian, Clients, Team members and other entities in GIFT
  • Support investor onboarding (including KYC, FATCA, CRS compliance)
  • Handle Client Queries related to Compliance and escalate complex matters

Fund Operations Compliance

  • Monitor capital call and distribution notices, fund flows, and reporting to investors for compliance
  • Ensure compliance in coordination with custodians, bankers, fund administrators, and portfolio managers
  • Maintain investor records, drawdown schedules, commitment tracking for regulatory purposes
  • Support board and investor meetings documentation and ensure necessary resolutions compliance

Specialized Compliance Areas

  • Execute AML Compliances procedures
  • Support compliances of Ancillary Service Provider at GIFT City
  • Manage compliance documentation including board minutes, investor communications, and vendor agreements
  • Conduct regular compliance reviews and risk assessments

Preferred Skills & Competencies

  • Strong understanding of IFSCA regulations, SEBI guidelines, and GIFT City operational framework

  • Experience with Alternative Investment Funds (AIF) and Fund Management Entity operations

  • Excellent knowledge of KYC, AML, FATCA, and CRS compliance requirements

  • Strong analytical and problem-solving skills

  • Excellent written and verbal communication skills

  • Ability to work under supervision while managing multiple compliance tasks

  • Proficiency in regulatory reporting and documentation

  • Strong attention to detail and accuracy

  • Ability to work collaboratively with the Principal Officer and senior management

Job Type: Full-time

Pay: ₹40, ₹60,000.00 per month

Benefits:

  • Cell phone reimbursement
  • Commuter assistance
  • Work from home

Location:

  • Gandhinagar, Gujarat (Required)

Work Location: In person