a) Regulatory Compliance & Governance

- Ensure compliance with:
- IFSCA Act, regulations, circulars and guidelines
- Applicable FEMA, RBI, SEBI, IRDAI (where relevant)
- International regulations (FATF, AML, KYC norms)

- Act as the principal compliance liaison with IFSCA and other regulators
- Keep management informed of regulatory developments and changes

b) Compliance Framework & Policies
- Develop, implement, and maintain:
- Compliance policies and procedures
- Code of conduct and ethics framework
- Compliance manuals specific to IFSC operations

- Establish a risk-based compliance program
- Periodically review and update policies

c) AML / KYC / Financial Crime Compliance
- Act as Designated Compliance Officer / MLRO (if required).
- Oversee:
- KYC/CDD/EDD processes
- Transaction monitoring systems
- Suspicious Transaction Reporting (STRs)

- Ensure compliance with:

- Prevention of Money Laundering Act (PMLA)
- FATF standards and IFSCA AML guidelines

d) Monitoring, Surveillance & Testing
- Design and execute compliance monitoring programs
- Conduct:
- Compliance testing and thematic reviews
- Internal audits support

- Track compliance breaches and ensure timely remediation

e) Regulatory Reporting
- Ensure accurate and timely filing of:
- Regulatory returns
- Periodic compliance certificates
- AML/STR filings

- Maintain proper documentation for regulatory inspections

f) Board & Committee Support
- Provide periodic compliance reports to:




- Board / Audit Committee / Risk Committee
- Highlight Compliance gaps, Regulatory risks, Action plans

g) Training & Awareness
- Conduct compliance training programs for employees
- Promote a robust compliance culture across the organization
- Ensure awareness of regulatory obligations among business teams

h) Advisory Role
- - Advise business units on Regulatory implications of new products/services, Cross-border transactions and structuring
- Provide pre-clearance and compliance approvals where required

i) Incident Management & Whistleblower Mechanism
- - Handle Compliance breaches, Regulatory incidents
- Oversee whistleblower framework, Ensure proper investigation and reporting

j) Inspection & Audit Handling
- Act as the single point of contact for:
- IFSCA inspections, Internal and external audits

- Ensure closure of audit observations within timelines.

Qualifications:
- Chartered Accountant / Company Secretary / Law Graduate / MBA (Finance)
- Relevant certifications (preferred):
- CAMS / AML certifications
- Compliance or risk certifications

Knowledge:

· Strong domain knowledge of regulatory / compliance framework applicable for Gift City business, product filing / launches, operations of securities markets, alternative financial products, AIF structures etc.

Minimum 12-15 years’ experience in compliance, risk or regulatory roles or with CA / law firms in their Gift City / AIF advisory division.

📌 Compliance Officer (Ahmedabad)
🏢 Invesco Mutual Fund
📍 Ahmedabad