Compliance Officer_ Gift City

2 days ago

Ahmedabad Gandhinagar, India Anand Rathi Wealth Full time ₹ 6,00,000 - ₹ 18,00,000 per year

Role Overview:

The Compliance Officer will be responsible for ensuring end-to-end regulatory compliance for Alternative Investment Funds (AIFs) and IFSCA-registered entities. This role involves managing regulatory filings, reviewing fund documents, liaising with regulators, and implementing robust compliance frameworks in line with SEBI, IFSCA, SEZ, FEMA, and global AML standards.

Key Responsibilities:

  • File new AIF scheme applications with SEBI and coordinate responses to regulatory queries.
  • Review fund documents including PPMs, Contribution Agreements, Trust Deeds, IMAs, NDAs, Side Letters, and Investment Agreements.
  • Monitor compliance of Category II Feeder PE Funds and Real Estate Funds, including CP/CS tracking and disbursement approvals.
  • Manage FEMA-related filings (Form InVi, FC-TRS, etc.) and regulatory reporting (GOS, MIS).
  • Review and approve investor communications, marketing materials, and fund updates.
  • Liaise with SEBI, IFSCA, SEZ authorities, trustees, consultants, and service providers.
  • Implement and oversee AML/CFT policies, including KYC, CDD/EDD, PEP, and sanctions screening.
  • Conduct trade surveillance and market abuse prevention in line with SEBI guidelines.
  • Track regulatory developments, advise business teams, and ensure timely implementation.
  • Address investor complaints and assist in drafting communications with regulators and stakeholders.
  • Support internal audits and periodic compliance reviews.

Requirements:

  • Strong understanding of SEBI AIF Regulations, IFSCA guidelines, SEZ rules, FEMA, and related compliance frameworks.
  • Hands-on experience in fund documentation review, regulatory filings, and investor communication.
  • Knowledge of AML/CFT, FATF, OFAC, and global compliance standards.
  • Excellent stakeholder management and regulatory liaison skills.
  • Detail-oriented with the ability to manage multiple compliance functions independently

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