This role is a senior compliance and regulatory position within a Fund Management Entity (FME) under IFSCA regulations. The Principal Officer / Compliance Officer acts as the main liaison with the regulator and ensures that all fund management operations comply with laws, regulations, and internal governance standards.
It is highly regulatory-focused, with solid oversight on fund operations, AML/KYC compliance, investor onboarding, and risk management. Physical presence at the GIFT IFSC office is mandatory.
Key Responsibilities1. Regulatory & Governance
- Acts as the designated Principal Officer / Compliance Officer per IFSCA (Fund Management) Regulations, 2022.
- Ensures adherence to IFSCA regulations, circulars, and internal governance frameworks.
- Establishes and maintains a strong compliance culture.
2. Regulatory Interface & Inspections
- Primary contact for IFSCA and other regulatory authorities.
- Handles submissions, inspections, queries, and other correspondence.
- Ensures physical presence at GIFT IFSC office as required.
3. Compliance & Filings
- Prepares and submits regulatory filings, returns, and disclosures.
- Maintains a compliance calendar and reporting dashboard.
4. Fund & Investment Compliance
- Ensures fund operations are aligned with strategy, investment objectives, and limits.
- Monitors transactions, valuations, and NAV processes.
5. Investor Onboarding & AML/CFT
- Implements AML/CFT and KYC procedures.
- Oversees investor due diligence and onboarding.
- Ensures compliance with local and global AML regulations.
6. Transaction Monitoring
- Reviews fund transactions for compliance.
- Investigates exceptions or red flags.
7. Internal Controls & Risk Management
- Develops SOPs and compliance frameworks.
- Conducts risk assessments and reports material breaches to management/board.
8. Audit & Supervisory Follow-ups
- Coordinates internal and external audits, regulatory reviews.
- Tracks audit findings and ensures remediation.
📌 Compliance Officer (Gandhinagar)
🏢 Hiring GURU
📍 Gandhinagar
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