- Ensure compliance with applicable laws, rules, and regulations, including IFSCA, SEBI, Companies Act and other regulatory guidelines.

- Prepare and maintain regulatory filings, reports, certifications, and statutory documentation.

- Monitor regulatory circulars and updates, and implement required compliance changes.

- Maintain compliance manuals, SOPs, checklists, and documentation processes.

- Support internal audits, reviews, and compliance testing.

- Assist in investor onboarding, KYC/AML verification, and record maintenance.

- Liaise with regulators, auditors, legal advisors, and external bodies.

- Conduct periodic compliance reviews, gap analysis, and risk assessments.





- Support operational teams in maintaining compliance with policies and standards.

- Provide compliance advisory and guidance to internal departments.

- Investigate compliance issues and recommend corrective actions

Requirements

- Bachelor’s or Master’s degree in Law, Finance, Commerce, or a related field.

- 5–10 years of experience in compliance, audit, regulatory, or legal roles.

- Experience in financial services, investment, NBFC, PMS/AIF, or IFSC entities is preferred.

- Certifications in AML/KYC, compliance, or governance are an added advantage.

📌 Assistant Compliance Officer (Gandhinagar)
🏢 SPEC Finance
📍 Gandhinagar