Principal Officer - Mutual Fund Firm

Job Description:

Role Overview:

The Principal Officer will oversee reulatory, compliance, operational and business development requirements for companys International Financial Service Centre (IFSC) unit at GIFT City. The role ensure adherence to IFSCA regulations along with SEBI regulations wherever applicable, managing governance processed and act as the key liason with regulatory and statutory authorities. Also be a key link with Market Participants for Business Development and Jurisdiction expansion.

Key Responsibilities:

Regulatory Compliance:

- Ensure end to end compliance with IFSCA regulations, cirulars and reporting requirements.

- Monitor regulatory changes and ensure timely internal alignments.

Regulator Lianson:

- Act as the primary point of contact with IFSCA, GIFT SEZ authorities, auditors and other related government bodies. Coordinate regulaotry filings, inspections, audits and submissions.

- Facilitate responses to queries, notices and regulatory observations.

Risk Management & Governance:

- Over-see risk assessment, mitigation frameworks and Internal controls.

- Ensure AMC/KYC compliance and reporting including suspiscious transactions reporting (if applicable).

- Drive governance standards across operations, business and ensure policy adherence.

Operations Management:

- Over-see day to day operations of the GIFT City Unit.

- Support Licensing, renewals, on-boarding of ivnestors, market expansion and product approvals from IFSCA as required.

- Coordinate with Finance , HR, Technology and other relevant teams for smooth functioning of IFSC Operations.

Business Development:

- Work closely to ensure expansion for GIFT City products in different jurisdicions. Have market pulse with relations to product and peers in IFSC. Ensure that the unit has substantial market share is profitable.

Stakeholder Management:

- Work closely with Business Heads to support expansion plans within the IFSC framework.

- Present Business, regulatory updates & compliance status to senior management/ Board.