Principal Officer - Financial Services

Key Responsibilities:

- Act as the Principal Officer for GIFT City operations, ensuring end-to-end compliance with IFSCA, SEZ, SEBI, RBI/FEMA, and other applicable regulations.

- Monitor adherence to the IFSCA Act, SEZ Act, and all relevant regulatory guidelines, circulars, and notifications.

- Ensure timely preparation, review, and submission of regulatory filings, reports, and responses to IFSCA, SEZ authorities, and other regulators.

- Develop, review, and implement robust internal policies, processes, and control frameworks to ensure regulatory and operational compliance.

- Maintain accurate records and ensure company-wide adherence to compliance policies and procedures.

- Oversee investor grievance handling and ensure prompt and effective resolution in accordance with regulatory requirements.

- Provide senior management with regular updates, reports, and insights on regulatory compliance status, potential risks, and recommended mitigation measures.

- Continuously monitor regulatory developments and proactively advise management on necessary changes to policies and operations.

- Ensure full compliance of Fund Management Entity and Broker-Dealer activities within the regulatory frameworks applicable to GIFT City operations.

- Supervise taxation-related compliances, including Indian Income Tax, withholding taxes, GST, and other relevant levies impacting GIFT City entities.

Education:

- CA / MBA / CS / LLB or an equivalent professional qualification.

Experience:

- Minimum 5-10 years of experience in the financial services industry.

- At least 3-5 years of direct experience in compliance, portfolio management, dealing, operations, or regulatory roles.

- Prior experience working within GIFT City with a strong understanding of AIF/PMS regulations and offshore structures is highly preferred.

Certifications:

- NISM certifications, Anti-Money Laundering (AML), Counter Financing of Terrorism (CFT), or equivalent certifications are desirable.

Industry Type - Financial Services

Keywords - IFSCA, FEMA Regulations, Operations and Regulations, Fund Management, Broker Dealer Activities