Compliance Officer

Job Description:

Responsibilities

• Oversee all regulatory compliance matters for the Fund Management Entity (FME) in Gift City, including specific oversight of investment-related compliance.
• Ensure adherence to IFSCA regulations and SEBI guidelines for both the feeder fund and angel fund.
• Develop and implement compliance frameworks that cover investment due diligence, deal structuring, fund investments, and exits.
• Review and approve investment transactions to ensure they meet all regulatory requirements.
• Conduct regular audits of the investment processes and documentation to ensure compliance.
• Monitor and evaluate changes in regulatory landscapes that may impact investment activities, providing guidance to the investment team to align with new regulations.
• Serve as the primary point of contact with regulatory authorities, including IFSCA and SEBI, particularly regarding investments and fund structuring.
• File accurate reports and disclosures related to investment activities and fund performance to regulatory authorities.
• Provide training and guidance to the investment team to ensure compliance in all stages of deal execution.
• Investigate and resolve any compliance breaches related to investment transactions, and recommend corrective actions.

Qualification & Experience

• Bachelor's degree in law, Finance, Business Administration, or a related field; a professional qualification such as CS, CA, or LLB is preferred.
• 8+ years of experience in a compliance role within a financial services organisation, with a focus on investment-related compliance, fund management, or investment banking.
• Deep understanding of financial regulations, particularly IFSCA, SEBI, and compliance requirements for venture capital and private equity investments.
• Experience with investment transaction reviews and ensuring regulatory compliance in fund investments.
• Strong problem-solving and analytical skills, especially in handling investment compliance issues.
• Ability to communicate effectively with both regulatory authorities and internal investment teams.
• High attention to detail and strong organisational skills.