Compliance Officer - BFSI

About the job:

Position Name - Compliance Officer

Location - GIFT SEZ, GIFT City, Gandhinagar, Gujarat

Experience Range - 3+ years in BFSI

Mandatory Requirement:

- Ensure compliance with GIFT City IFSCA and SEBI AIF regulations and spearhead compliance and risk management activities at the GIFT City office.

- Develop infrastructure, systems, and processes to meet compliance requirements for the GIFT City office.

Job Roles and Responsibilities:

- Responsible for Compliance with SEBI AIF regulations and leading the Compliance and risk management.

- Should keep abreast with the latest regulatory changes/requirements and adhere to such requirements especially related to the SEZ Act and SEBI AIF IFSC Guidelines

- Responsible for assisting and managing the compliance and operations activities

- Liaison and deal with auditors and regulators from time to time

- Should prepare quarterly compliance reports to the Board and regulators

- Responsible for building infra, and systems & process and Maintaining all statutory registers and secretarial records

- Should have good drafting skills with an understanding of AIF business

- Assisting in the maintenance of all documents about the receipt of investment by AIF & reporting by AIF to its Trustee, contributors, and regulators

- Maintain relationships with internal and external stakeholders.

- Should have experience in handling statutory filings and submissions for renewal of registration cum Membership Certificate, coordinating for renewal of the lease, Service Export Reporting, Monthly Report of Investment & Employment, Annual Performance Report, and ensuring the validity of Bond Cum Legal Undertaking

- Apply for various funds and licenses, as per the organization's requirement

- Oversee the entire investor onboarding process, ensuring due diligence, compliance with FATCA, CRS, AML/CFT regulations, and EDD for high-risk investors.

- Maintain a centralized KYC/AML documentation repository for audit readiness.

- Act as the primary contact for investor queries, manage communications on capital calls, distributions, and fund updates, and ensure accurate reporting of statements while maintaining data privacy and confidentiality.

Qualifications:

- Hold qualification as a member of the Institute of Company Secretaries of India (ICSI), or as a member of the Institute of Chartered Accountants of India (ICAI) or a LLB with relevant experience.

Skills and Competencies:

- Strong knowledge of regulatory requirements for financial services.

- Effective communication and interpersonal skills.

- Ability to work independently and manage multiple tasks.

- Proficiency in using compliance software and tools