compliance

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 900,000 - 1,800,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a midlevel Compliance Officer for the GIFT IFSC, Gandhinagar location.

You will ensure adherence to IFSCA, SEZ and applicable regulations, oversee AML/CFT frameworks, KYC protocols, and regulatory reporting, audits and disclosures. Responsibilities include liaising with regulators, developing and implementing policies, maintaining documentation, conducting risk assessments, training staff, investigating breaches, and supporting audits as

Qualifications

• Must have law degree with regulatory compliance exposure.
• Familiarity with IFSCA regulations and IFSCA/SEZ compliance requirements.
• Experience in financial services regulatory reporting and audits.

Responsibilities

• Ensure adherence to IFSCA, SEZ, RBI/FEMA and other guidelines.
• Liaise with regulators for filings, returns and compliance.
• Develop and implement internal policies and SOPs.
• Maintain documentation including regulatory filings and reports.

Skills

IFSCA knowledge

Regulatory liaison

Audit support

Risk assessment

Policy implementation

AML/CFT

KYC protocols

Regulatory reporting

Education

Bachelor of Law (LL.B.)

Post-graduate degree in Law/Finance/Business

Job description

Role & responsibilities

Job Description: Compliance Officer Location: GIFT IFSC, Gandhinagar, Gujarat

Job Summary: We are seeking a midlevel Compliance Officer to ensure the organization's adherence to IFSCA and SEZ and other applicable regulations, oversees AML/CFT frameworks, KYC protocols, internal policies, and manages regulatory reporting, audits and Disclosures. This role demands proactive risk oversight and liaisoning with regulatory authorities.

• Regulatory Compliance: Ensure organization's adherence to IFSCA, SEBI, RBI/FEMA, and SEZ guidelines and all applicable regulatory frameworks.
• Liaison with Regulators: Liaison with regulators (IFSCA, SEZ or others) in regulatory filings, returns, and compliances.
• Internal Policies: Develop and implement internal compliance policies and standard Operating procedures(SOPs) in alignment with regulatory requirements. Regularly revie w internal controls to ensure alignment with regulatory expectations.
• Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required.
• Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively.
• Training and Awareness: Provide training and guidance to employees on compliance matters, including IFSCA regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization.
• Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence.
• Audit Support: Co-ordinate and support for audit as specified by authorities. Collaborate with auditors to provide necessary documentation and facilitate audit processes.
• Other Tasks: Responsible for any other tasks assigned by the management from time to time.

Qualifications

A professional qualification including Bachelor of Law or Post-graduate degree in Law, Finance commerce, business management or related discipline from a recognized university/institution..

Clear understanding of IFSCA regulations and compliance requirements applicable to Investment Advisers.

Minimum of 2 years of post-qualification experience in compliance roles within the financial services industry, preferably in Investment Advisory, portfolio management services, AIF, Broking House, or Mutual Fund House.

Strong analytical skills with the ability to assess regulatory requirements and mitigate compliance risks effectively.

Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.

Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.

Must meet the fit and proper person criteria as specified by IFSCA.