Compliance Officer

1 day ago

Gandhinagar, Gujarat, India SKS Enterpprises Full time ₹ 20,00,000 - ₹ 25,00,000 per year

Position Name - Compliance Officer

Location - Gift City,Gandhinagar

Experience Range - 5+ yrs

Mandatory Requirement:

  • Ensure full compliance with IFSCA regulations for Fund Managers and AIF Category III entities, focusing on internal controls, audits, and investor fund compliance.

  • Liaise and report effectively with regulatory bodies, ensuring adherence to all compliance and reporting requirements.


About the client: The Company manages equity assets across PMS, AIF, and Advisory channels, including offshore funds It oversees assets under management and advisory of approximately 3600 Crs

Job Roles and Responsibilities:

  • Regulatory Compliance & Monitoring:
    Ensure end-to-end compliance with IFSCA regulations for Fund Managers and AIF Category III entities, while interpreting and implementing SEBI AIF Regulations, IFSCA guidelines, PMLA, FEMA, and other relevant laws. Continuously develop and update internal compliance policies specific to GIFT City operations.
  • Liaison & Reporting:
    Act as the Principal Officer for compliance reporting to IFSCA, FIU-IND, and other regulatory bodies, ensuring timely filing of statutory reports like periodic returns, financial disclosures, and investor-related filings. Collaborate with IFSCA, auditors, legal counsel, custodians, and fund administrators for regulatory matters.
  • Internal Controls & Audits:
    Conduct regular internal compliance audits and risk assessments, ensuring compliance checks are completed before investor onboarding, transactions, and fund launches. Assist in managing regulatory inspections and audits.
  • Investor & Fund Compliance:
    Ensure fund documents, PPM, KYC/AML compliance, and investor onboarding processes align with regulatory expectations. Review marketing materials, term sheets, presentations, and pitch documents from a compliance perspective.
  • Training & Awareness:
    Conduct periodic training sessions for the GIFT City team on regulatory developments, the Code of Conduct, and ethics policies. Keep management informed about key regulatory changes and track industry trends and market movements affecting these sectors.
  • Investment & Financial Analysis:
    Prepare investment notes, financial models, and reports to support investment decisions. Analyze company positioning, business growth potential, financial health, and risks for buy/sell recommendations. Monitor earnings releases, management commentary, and key industry developments, and communicate investment insights effectively to internal stakeholders and investors.

Qualification and Experience - 

  • In-depth understanding of fund regulatory frameworks
  • strong attention to detail with a risk-oriented mindset
  • excellent communication and stakeholder management skills
  • ability to manage multiple priorities, and strong ethical standards ensuring confidentiality and trust.
  • ·      Qualified Company Secretary (CS) and/or LLB, CA, or MBA (Finance/Law) with strong regulatory experience.
  • ·      Minimum 6–10 years of experience in a compliance role within AIF/PMS, broking, or asset management firms.
  • ·      Hands-on knowledge of IFSCA regulations and AIF Cat III norms is a must.
  • Prior exposure to setting up or managing compliance for GIFT City operations is preferred.
 

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