Compliance Officer - IFSCA Fund Management

Summary :

The Compliance Officer is a key managerial role responsible for ensuring the Fund Management Entity (FME) operates in full compliance with the IFSCA Fund Management, Capital Market Intermediaries Regulations, SEBI FPI regulations and other applicable laws and guidelines.

The Compliance Officer oversees the implementation of regulatory and compliance frameworks, monitors adherence to IFSCA requirements, and ensures robust governance and risk management practices. Based in GIFT City, the Compliance Officer will work closely with the Principal Officer to maintain regulatory integrity and safeguard the interests of investors and stakeholders.

Experience : 7+ years

Key Responsibilities :

• Ensure compliance with all provisions of the IFSCA (Fund Management) Regulations, and IFSCA (Capital Market Intermediaries) Regulations, SEZ Reules & Regulations including timely submission of periodic compliances.
• Develop, implement, and monitor compliance policies, procedures, and internal controls to align with IFSCA guidelines and the fund’s operational framework.
• Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements, including those for Venture Capital Schemes, Restricted Schemes, FPIsetc.
• Act as a key point of contact for IFSCA and other regulatory bodies, facilitating inspections, inquiries, and submission of required reports and disclosures.
• Monitor and report on regulatory changes, including updates proposed in the IFSCA Consultation Paper published by time to time basis, and ensure timely adaptation of the fund’s processes.
• Oversee the preparation and submission of accurate and timely regulatory filings, including placement memoranda, scheme documents, and compliance reports.
• Advise the Principal Officer and fund management team on compliance-related matters, ensuring all activities are conducted within the IFSC framework.
• Implement and monitor risk management protocols to mitigate compliance and operational risks.
• Ensure proper documentation and record-keeping as per IFSCA requirements, including investor communications and disclosures.
• Conduct training programs for staff to promote awareness of regulatory and compliance obligations.
• Ensure the fund house (FME) meets the “fit and proper” criteria as defined by IFSCA, including ongoing monitoring of key personnel.

Qualifications :

Experience :

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