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