- Type
- Full-time
- Department
- Legal
- Experience
- 3+ years
- Source
- RecruiterFlow
Description
Position Name - Compliance Officer
Location - Gift City ,Gandhinagar
Experience Range - 3+ yrs
Mandatory Requirement:
- Minimum 3 years of experience in capital markets, investment advisory, fund management, or regulatory consulting
- Strong understanding of compliance frameworks and risk controls within the financial services industry.
About the client: A boutique investment firm specializing in alternative and thematic equity strategies with a strong focus on research-driven portfolio management.
Job Roles and Responsibilities:
- Ensure adherence to relevant laws, regulations, and industry standards applicable
- The focus is to act as an oversight to the compliance and operations and to ensure that the activities align and implemented on time as per the regulatory requirements.
- Assist with operational inputs, MIS reports, and execution of strategic initiatives.
- Ensures the entity’s readiness for internal audits, statutory audits, and inspections by IFSCA or other regulators.
- Identify, assess, and mitigate risks associated with asset management activities.
- Provide regular reports to the Principal Officer and other stakeholders on compliance and risk management matters.
- Work closely with the Principal Officer, Compliance Officer, and other teams to ensure seamless coordination and effective risk management.
Qualification and Experience:
An experience of at least three (3) years in related activities in the securities market or financial products including in a portfolio manager, fund manager, investment advisor, broker dealer, investment banker, wealth manager, research analyst, credit rating agency, market infrastructure institution, financial sector regulator or consultancy experience in areas related to fund management, such as deal due diligence, transaction advisory or similar activities,
- Excellent understanding of regulatory frameworks applicable to asset management in India, such as SEBI/IFSCA/RBI/AML-CFT regulations.
- Familiarity with industry trends, best practices, and emerging issues in asset management.
- Excellent analytical, problem-solving, and communication skills.
