Compliance Officer

Company Overview

Not specified.

Job Summary

The role is responsible for ensuring overall regulatory compliance with FSCA/IFSCA guidelines, Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) requirements, and internal policies. This includes overseeing Know Your Customer (KYC) and onboarding processes, managing regulatory filings and reporting, and coordinating with internal and external stakeholders such as compliance teams, auditors, and regulators.

Responsibilities

• Ensure compliance with FSCA (Fund Management) Regulations and AML/CFT guidelines.
• Track regulatory updates and implement necessary changes in policies and processes.
• Oversee onboarding and KYC verification processes, ensuring adherence to compliance standards.
• Monitor the AML/CFT compliance framework and review suspicious transactions, escalating when required.
• Manage periodic returns to IFSCA, including compliance reports and audit submissions.
• Draft and update internal policies, controls, and Standard Operating Procedures (SOPs).
• Maintain a compliance calendar to track all statutory timelines and ensure timely submissions.
• Address investor grievances, maintaining a grievance register and reporting on resolution processes.
• Assist during regulatory inspections and audits, coordinating with internal auditors and regulators.

Qualifications

• Educational Qualification: MBA.
• Experience: 8-10 years in compliance-related roles.
• Functional/Technical Skills:
  • Strong knowledge of IFSCA regulations.
  • Comprehensive understanding of AML/KYC compliance.
  • Proficiency in regulatory reporting.
  • Exceptional attention to detail.
  • Strong communication and documentation skills.
  • Ability to coordinate effectively with regulators and auditors.

Preferred Skills

• Familiarity with additional compliance frameworks and regulations may be a plus.

Experience

8-10 years of relevant experience in compliance or regulatory roles.

Environment

Typical work setting is in Gift City, focused on ensuring compliance and interacting with various stakeholders, including auditors and regulators.

Salary

Not specified.

Growth Opportunities

Not specified.

Benefits

Not specified.