1.Regulatory Compliance:

- Ensure end-to-end compliance with IFSCA, SEBI, RBI, FEMA, and PMLA regulations.

- Monitor regulatory changes and ensure prompt implementation of relevant policies.

- Maintain updated knowledge of IFSC regulatory workplace and cross-border investment

norms.

2.Internal Controls & Risk Management:

- Draft, review, and implement internal compliance policies, risk management frameworks, and

operating procedures.

- Conduct periodic compliance reviews, risk assessments, and audits to ensure adherence to

internal and external regulatory requirements.

3.AML / KYC / FATCA Oversight:

- Supervise Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT),

KYC, and FATCA compliance.

- Ensure due diligence is maintained throughout the investor lifecycle and transactions.





4.Regulatory Reporting:

- Prepare and file timely reports with IFSCA, SEBI, RBI, and other statutory authorities.

- Coordinate inspections, audits, and regulatory queries.

- Support management in preparing board reports, investor disclosures, and compliance

dashboards.

5.Communication & Training:

- Act as the point of contact with regulatory bodies and represent the firm during inspections.

- Conduct internal training programs on compliance, code of conduct, and policy updates.

- Review marketing material, communications, agreements, and internal documentation for

regulatory alignment.

📌 Compliance Officer (Gandhinagar)
🏢 RK HR Management
📍 Gandhinagar