The Compliance Officer acts as the independent "second line of defense." The CO monitors the day-to-day legal health of the KRA and has the unique authority to report non-compliance directly to the regulator.

- Independent Surveillance & Auditing: Conduct routine, objective audits of internal systems, operational processes, and staff actions to ensure uncompromised adherence to the IFSCA KRA Regulations, master circulars, and the official Code of Conduct.

- Direct Escalation of Non-Compliance: If a breach, operational bypass, or legal violation occurs within the organization, the Compliance Officer is under regulatory obligation to immediately and independently report the matter directly to the IFSCA.

- SOP and Policy Development: Continuously translate shifting IFSCA circulars and guidance notes into actionable, step-by-step Standard Operating Procedures (SOPs)



for the operations team.

- Investor Grievance Redressal: Build and maintain an impartial, productive mechanism to handle customer complaints, resolve onboarding disputes, and manage grievances arising from verification delays.

- Regulatory Filings & Notifications: Certify compliance reports, coordinate annual external audit submissions, and ensure notifications regarding material structure updates are filed within mandatory timelines (e.g., within 15 days).

- Regulatory Requirement: Must possess matching professional/post-graduate educational requirements and hold a minimum of 8 years of experience in the financial services or compliance markets.

📌 Compliance Officer (CO) (Ahmedabad)
🏢 Computer Age Management Services (CAMS)
📍 Ahmedabad