Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients’ wealth through consistent and well-researched strategies. Designation: Compliance Officer Location: Gift City Education: Company Secretary + LLB (optional) Experience : Minimum 5 Years About the Role: The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities. Requirements: Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations). Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders. Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA. Ensure the completeness and accuracy of data submitted in these reports. Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations. Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed. Managing Internal Audits. AML/CFT compliance and monitoring. Coordination with Custodian/Fund Accountant/Fund Admin. Review/drafting of legal agreements. Behavioral: Good understanding of Regulatory and Legal affairs of SEBI Compliances. Excellent English verbal and drafting communication skills. Attention to detail and collaborative approach. Key Stakeholders: Senior Management. Department Heads. SEBI, Depository, Stock Exchanges etc. Other departments etc.
Job Title
Compliance Officer