Compliance Officer

SKS Enterpprises - Human Resource Planning and Management; Gandhinagar; On-site; INR 600,000 - 1,000,000; Full time

Job summary

A prominent consulting firm in Gujarat is seeking a Legal and Compliance Officer. The role includes ensuring compliance with SEBI and IFSCA regulations, supervising investor onboarding, and maintaining compliance manuals. Ideal candidates should possess a Bachelor's degree in Law or related fields, with 3 years of relevant experience in regulatory roles. Strong analytical and communication skills are crucial for this mid-senior level position. This is a full-time opportunity in the Finance sector, specifically in Venture Capital and Private Equity Principals.

Qualifications

• 3 years of experience in compliance/regulatory roles in finance services.
• Familiarity with SEBI AIF and IFSCA regulations is preferred.
• Strong documentation skills to interpret legal requirements.

Responsibilities

• Ensure compliance with SEBI and IFSCA regulatory requirements.
• Supervise investor onboarding and KYC checks.
• Update compliance manuals and policies.

Skills

Compliance expertise

Analytical skills

Effective communication

Integrity and confidentiality

Education

Bachelor’s degree in Law, Finance, Commerce or related

Job description

Position Name - Legal and Compliance Officer-AIF

Experience Range - 4-8 yrs

Mandatory Requirement

• Ensure end-to-end compliance with IFSC regulations, corporate laws, and other regulatory frameworks

Job Roles and Responsibilities

• Ensure full compliance with all regulatory requirements under SEBI and/or IFSCA jurisdictions.
• Supervise investor onboarding, KYC/AML checks, due diligence of portfolio companies, and reporting.
• Monitor, interpret, and implement regulatory changes in internal policies and procedures.
• Coordinate with trustees, auditors, valuers, fund administrators, and other stakeholders.
• Track and maintain compliance with SEBI AIF / IFSCA FME regulations, PMLA / AML-CFT rules, cybersecurity, and data protection norms.
• Maintain and update compliance manuals, policies, checklists, and calendars for all entities.
• Escalate material compliance risks or breaches to senior management and support remediation.
• Oversee KYC/CDD for investors and portfolio companies, conduct PEP/sanctions screening, and file STRs/CTRs with FIU-IND as required.
• Prepare and file regulatory reports.
• Coordinate and support regulatory audits, inspections, and investor reporting, ensuring timely and accurate submissions.

Qualification and Experience

• Bachelor’s degree in Law, Finance, Commerce, or a related discipline.
• Prior experience (typically 3 years) in compliance / regulatory roles in funds, asset management, private equity, banking or financial services.
• Familiarity with SEBI AIF regulations, IFSCA FME regulations, PMLA / AML-CFT rules, beneficial-ownership norms, sanctions / PEP screening, cyber-resilience requirements.
• Strong analytical and documentation skills; ability to interpret and operationalize legal/regulatory requirements.
• Effective verbal and written communication skills; ability to present and liaise with senior management and external stakeholders.
• High level of integrity, confidentiality, and ethical standards.
• Experience in investor onboarding, due diligence, background verification.
• Knowledge of international AML / sanctions frameworks.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance

Industries

Venture Capital and Private Equity Principals