Position: Compliance Officer
Location: GIFT City, Gandhinagar
Experience: 5+ Years
Mandatory Requirements
We are seeking a Compliance Officer for a Fund Management Entity (FME) operating in GIFT City. The ideal candidate should have strong experience in regulatory compliance, KYC/AML, investor onboarding, FATCA/CRS, and compliance monitoring within Category II AIFs, Asset Management, Wealth Management, PMS, Fund Administration, or Financial Services environments.
Key Responsibilities
- Ensure compliance with IFSCA regulations, AML/CFT guidelines, FEMA provisions, and other applicable regulatory requirements.
- Manage end-to-end investor onboarding, including KYC/CDD reviews, UBO verification, sanctions screening, PEP checks, and risk categorization.
- Oversee AML monitoring, transaction reviews, regulatory reporting, periodic KYC refresh, and maintenance of compliance records.
- Ensure compliance with FATCA/CRS requirements and investor due diligence obligations.
- Assist in preparation, implementation, and review of compliance policies, AML frameworks, risk assessments, and internal controls.
- Handle regulatory filings, audit requirements, inspections, and regulatory correspondence.
- Support fund launches, investor onboarding, and ongoing compliance requirements for domestic and international investors.
- Monitor regulatory developments and advise internal stakeholders on compliance implications and implementation requirements.
- Coordinate with fund administrators, custodians, auditors, legal advisors, and other service providers on compliance-related matters.
- Work closely with operations, legal, finance, and investment teams to ensure adherence to regulatory and compliance requirements.
Qualification & Experience
- Bachelor's degree in Commerce, Finance, Accounting, Law, or a related discipline. CA, CS, CFA, CAMS, or other relevant certifications will be preferred.
- 5+ years of experience in Compliance, KYC/AML, Investor Onboarding, Regulatory Compliance, or Financial Services.
- Hands-on experience with Category II AIFs, Fund Management Entities, Asset Management, Wealth Management, PMS, or similar regulated financial institutions.
- Strong knowledge of IFSCA regulations, AML/CFT requirements, FEMA, FATCA/CRS, and investor onboarding processes.
- Experience in UBO identification, sanctions screening, PEP reviews, AML monitoring, and regulatory reporting.
- Strong stakeholder management, communication, analytical, and documentation skills.
Mandatory Screening Criteria
- 5+ years of Compliance experience in Financial Services.
- Hands-on KYC/AML and Investor Onboarding experience.
- Exposure to Category II AIF/Fund Management Entity/Asset Management setup.
- Working knowledge of IFSCA regulations and FATCA/CRS compliance.
- Experience handling regulatory filings, audits, and compliance monitoring.
