Compliance Officer

Mantras2success Consultants; Gandhinagar; On-site; INR 1,200,000 - 2,000,000; Full time

Job summary

Mantras2success Consultants is seeking a Compliance Officer to manage IFSCA compliance, regulatory filings, and related governance activities for a financial services entity operating within GIFT City IFSC. The role emphasizes risk-based oversight, with emphasis on KYC/AML, sanctions screening, and regulatory reporting.

The ideal candidate will have CA or CS qualifications, 3+ years in compliance, and strong analytical and communication skills to coordinate with regulators, auditors, and

Qualifications

• CA or CS qualification is mandatory.
• Minimum 3 years of experience in compliance or risk management within a listed company or a financial sector-regulated entity.
• NISM and ICAI/ICSI certifications as mandated by IFSCA for Compliance Officers of Fund Management Entities (FMEs).
• Strong understanding of regulatory compliance, risk management, and governance.
• Excellent analytical, quantitative, and problem-solving skills.
• Strong written and verbal communication skills.
• Proficiency in MS Excel, PowerPoint, and financial databases.
• Ability to work independently and collaboratively in a fast-paced environment.
• High attention to detail, accuracy, and organisational skills.

Responsibilities

• Manage IFSCA compliance, regulatory filings, compliance calendars, and regulatory reporting.
• Monitor regulatory updates and ensure timely implementation of applicable guidelines.
• Coordinate with IFSCA regarding regulatory queries, inspections, and information requests.
• Oversee KYC, AML/CFT, FATCA, CRS, sanctions screening, and PEP screening.
• Monitor conflicts of interest, related-party transactions, disclosures, and internal compliance policies.
• Support internal and external audits and ensure adherence to regulatory requirements.
• Coordinate with the Principal Officer, Fund Manager, Board, Trustee, Custodian, Fund Administrator, RTA, banks, auditors, legal counsel, and tax advisors.
• Maintain compliance documentation and records and recommend improvements to internal controls.
• Identify compliance risks and ensure timely resolution of regulatory issues.

Skills

Regulatory compliance

Risk management

Governance

Regulatory reporting

Analytics

Communication skills

MS Excel

MS PowerPoint

Financial databases

Education

CA or CS qualification

NISM certification

ICAI/ICSI certification

MBA or CFA (preferred)

Tools

MS Excel

PowerPoint

Financial databases

Job description

Job Overview:

We are looking for a Compliance Officer with experience in regulatory compliance and risk management to manage IFSCA compliance, regulatory filings, investor due diligence, and governance activities for a financial services entity operating in GIFT City IFSC.

Key Responsibilities:

• Manage IFSCA compliance, regulatory filings, compliance calendars, and regulatory reporting.
• Monitor regulatory updates and ensure timely implementation of applicable guidelines.
• Coordinate with IFSCA regarding regulatory queries, inspections, and information requests.
• Oversee KYC, AML/CFT, FATCA, CRS, sanctions screening, and PEP screening.
• Monitor conflicts of interest, related-party transactions, disclosures, and internal compliance policies.
• Support internal and external audits and ensure adherence to regulatory requirements.
• Coordinate with the Principal Officer, Fund Manager, Board, Trustee, Custodian, Fund Administrator, RTA, banks, auditors, legal counsel, and tax advisors.
• Maintain compliance documentation and records and recommend improvements to internal controls.
• Identify compliance risks and ensure timely resolution of regulatory issues.

Required Qualifications and Skills:

• CA or CS qualification is mandatory.
• Minimum 3 years of experience in compliance or risk management within a listed company or a financial sector-regulated entity.
• Relevant NISM and ICAI/ICSI certifications as mandated by IFSCA for Compliance Officers of Fund Management Entities (FMEs).
• Strong understanding of regulatory compliance, risk management, and governance.
• Excellent analytical, quantitative, and problem-solving skills.
• Strong written and verbal communication skills.
• Proficiency in MS Excel, PowerPoint, and financial databases.
• Ability to work independently and collaboratively in a fast-paced environment.
• High attention to detail, accuracy, and organisational skills.

Preferred Qualifications and Experience:

• Experience with IFSCA/GIFT IFSC regulations.
• Exposure to Alternative Investment Funds (AIFs), mutual funds, Portfolio Management Services (PMS), or investment compliance.
• Experience in AML/KYC processes and regulatory reporting.
• MBA or CFA qualification will be an added advantage.

Personal Attributes:

• High integrity and discretion in handling confidential information.
• Strong ownership, accountability, and commitment to deadlines.
• Proactive and solution-oriented approach to problem-solving.
• Adaptability and willingness to learn in a dynamic work environment.
• Strong interpersonal skills and stakeholder management abilities.
• Interest in startups, entrepreneurship, technology, and responsible business growth.