Compliance Officer

Mandatory Requirement :

• Experience in compliance with IFSC AIF regulations and spearhead compliance and risk management activities at the GIFT City branch office.
• Experience in identification of compliance requirements for IFSC & AIF compliances.

Job Roles and Responsibilities:

• Ensure compliance with IFSC AIF regulations and spearhead compliance and risk management activities at the GIFT City branch office.
• Ensure identification of compliance requirements for IFSC & AIF compliances.
• Stay informed about the latest regulatory changes and requirements, particularly those related to the SEZ Act and AIF IFSC Guidelines.
• Prepare, analyze and Vet various reports, quarterly compliance reports for presentation to the Board and regulators.
• Maintain all statutory registers and secretarial records.
• Assist in organizing and maintaining documents related to AIF investments in GIFT City, ensuring accurate reporting to the Trustee, contributors, and regulators.
• Manage statutory filings and submissions for AIF in GIFT City, specifically overseeing the renewal of Registration cum Membership Certificate, coordinating lease renewals, Service Export Reporting, Monthly Report of Investment & Employment, Annual Performance Report, and ensuring the validity of Bond Cum Legal Undertaking.
• Draft and vet Scheme Information Document, Statement of Additional Information, and other statutory documents, including documents pertaining to PMS/AIF business.
• Drafting regulatory or business policies and procedures
• Monitor and report compliances relating to investors servicing to statutory authorities.
• Interact and Liaise with the Statutory Audit, IFSC Audit, Internal Audit, etc and ensure any shortcomings/discrepancies are highlighted. Coordinate regulatory inspection.
• Legal Drafting and vetting of business agreements

Qualification and Experience:

• Possess relevant secretarial experience, preferably in a financial sector company.
• Conduct research on SEBI AIF Regulations, FEMA, and investment regulations across various sectors, industries, and jurisdictions; ideally, have experience dealing with foreign law firms in this context.
• Demonstrate dynamism and teamwork, coupled with the ability to independently manage assigned tasks.
• Exhibit strong oral, written communication, and interpersonal skills.
• Display ambition, passion, and the ability to perform effectively under pressure.
• Sound knowledge of the various other regulations like Companies Act, PMLA, SAST, KYC, Insider Trading etc.