764 Compliance Officer jobs in India

Job Title: Compliance Officer

Location: Kochi, India

Organisation: UNIVIVE

Years of Experience required : 2+ Years

Job Summary:

The Compliance Officer plays a critical role in maintaining the integrity and compliance of student applications, visa documentation, and interview processes. Reporting directly to the Compliance Manager, the officer will support end-to-end compliance activities, assist in organizing and conducting mock interviews, and act as a key liaison between the company, students, and agents to ensure adherence to university and immigration regulations.

Key Responsibilities:

Application and Visa Compliance:

• Review student applications and documentation for accuracy and compliance with partner university and visa requirements.
• Verify academic, financial, and personal documents submitted by applicants.
• Maintain accurate records of all compliance-related checks and communications.

Mock Interview Coordination.

• Organize and schedule weekly mock interviews in coordination with the student advisors and other internal teams.
• Conduct mock interviews to prepare students for interviews with universities or embassies.
• Provide constructive feedback and interview tips to students for improvements.

Communication and Follow-ups :

• Contact students and agents to confirm interview schedules, required documentation, or resolve compliance-related queries.
• Follow up on missing or incorrect documents and ensure timely submission of required paperwork.

Reporting and Documentation :

• Maintain up-to-date compliance checklists, logs, and interview reports.
• Assist in preparing internal reports for management on compliance metrics and issues.

General Support and Administrative Duties.

• Provide support in preparing students for visa processes, including ensuring all documents are complete and verified.
• Assist the Compliance Manager in day-to-day compliance operations and other related tasks as assigned.
• Stay updated with changes in immigration policies, visa guidelines, and university compliance requirements.

Requirements :

• Minimum 2+ year of e xperience in the overseas education industry, preferably in compliance or student documentation.
• Strong knowledge of international admission and visa processes (especially for UK).
• Excellent communication and interpersonal skills, especially in guiding students and coordinating with agents.
• Attention to detail and strong organisational skills.
• Proficient in MS Office and data entry tools.
• Ability to handle sensitive information confidentially.

Preferred Qualifications :

• Bachelor’s degree in any discipline (education, international relations, or similar background is a plus).
• Experience in handling student visa compliance or mock interviews.
• Familiarity with CRM systems or student management platforms.

Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients’ wealth through consistent and well-researched strategies.

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

• Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
• Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
• Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
• Ensure the completeness and accuracy of data submitted in these reports.
• Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
• Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed.
• Managing Internal Audits.
• AML/CFT compliance and monitoring.
• Coordination with Custodian/Fund Accountant/Fund Admin.
• Review/drafting of legal agreements.

Behavioral:

• Good understanding of Regulatory and Legal affairs of SEBI Compliances.
• Excellent English verbal and drafting communication skills.
• Attention to detail and collaborative approach.

Key Stakeholders:

• Senior Management.
• Department Heads.
• SEBI, Depository, Stock Exchanges etc.
• Other departments etc.

As a Compliance Officer your roles and responsibilities will be as below:

• Need to maintain ongoing and initial compliance.
• Chase candidate for outstanding documents as per checklist
• Verify and upload documents on CRM.
• Minimum need to achieve KPI of 2 files compliant.

Key Skills:

• UK compliance healthcare background
• Knowledge of NHS framework compliance
• Excellent communication skills (written and verbal both)
• Familiar with MS Outlook and MS-Office (Good in MS-Excel)

Schedule:

UK hours (12.30 pm to 10 pm IST)

Ahmedabad (On-site)

Job Title: Compliance Officer, GIFT City

Location: GIFT City, Gandhinagar

Experience: 5-10 Years

Education: CA / CS (Chartered Accountant / Company Secretary) highly preferred

About Our Client

Our client is a rapidly growing Category III Alternative Investment Fund manager , established in September 2022. In under three years, they've quickly achieved significant scale, amassing ₹71,655 crore (US $1.9 billion) in AUM , serving nearly 950 high-net-worth families across India.

They operate with a distinct investment philosophy that emphasizes disciplined, long-term wealth creation, focusing on well-valued, high-quality businesses and consistent, risk-adjusted performance. Their culture is driven by intellectual curiosity, collaboration, and innovation, bringing together some of the brightest minds in finance and economics.

The Opportunity: Lead Compliance for a Growing IFSC Presence

We're seeking a highly experienced and independent Compliance Officer to manage the entire compliance function for our client's established office in GIFT City . This pivotal role offers the opportunity to independently oversee all regulatory aspects within India's premier International Financial Services Centre (IFSC), working closely with the Mumbai office while taking full ownership of compliance for the GIFT City entity.

This is an exceptional opportunity for a seasoned compliance professional to build and maintain robust frameworks in a dynamic and evolving regulatory environment.

Core Responsibilities: Ensuring Regulatory Excellence and Strategic Compliance

As the Compliance Officer for the GIFT City office, you'll be instrumental in ensuring full adherence to all applicable regulatory frameworks, operating with a high degree of autonomy.

1. Regulatory Adherence & Interpretation:

• Act as the Principal Officer for GIFT City operations, overseeing all compliance activities.
• Ensure end-to-end compliance with IFSCA, SEZ, SEBI (for AIF/PMS), RBI/FEMA , and other relevant regulations specific to the IFSC.
• Proactively monitor and interpret evolving regulatory guidelines, circulars, and notifications from IFSCA and other bodies.
• Advise management on necessary policy and operational changes to ensure continuous compliance.

2. Regulatory Filings & Reporting:

• Oversee the timely preparation, review, and submission of all regulatory filings, reports (e.g., SERF, APR), and responses to IFSCA, SEZ authorities, and other regulators.
• Ensure accuracy and completeness of all data submitted to regulatory bodies.

3. Policy & Framework Development:

• Develop, implement, and continuously review robust internal policies, procedures, and control frameworks specific to GIFT City operations (e.g., AML, KYC, FATCA, PMLA policies).
• Ensure all policies reflect the latest regulatory requirements and best practices within the IFSC.

4. Risk Management & Internal Controls:

• Conduct comprehensive compliance risk assessments (e.g., RCSA) and implement effective mitigation strategies.
• Monitor compliance and risk management activities, providing regular reports to senior management and the Mumbai office.
• Conduct internal compliance audits and facilitate external audits (statutory, internal) and regulatory inspections.

5. Advisory & Training:

• Provide expert compliance advisory support to business and functional teams operating out of GIFT City.
• Develop and deliver compliance training programs to foster a strong culture of compliance among all employees in the GIFT City office.

6. Stakeholder Management:

• Serve as the primary point of contact for regulatory authorities, particularly IFSCA, and facilitate smooth communication and inspections.
• Liaise effectively with external auditors, legal counsel, and internal stakeholders (Board, Audit Committee, Mumbai oversight team).

7. Specific to Asset Management (AIF/PMS):

• Ensure compliance with specific Fund Management Entity (FME) regulations under IFSCA, including AIF and PMS guidelines.
• Oversee investor grievance redressal mechanisms.
• Manage taxation-related compliances for the GIFT City entity (e.g., Income Tax benefits, GST, TDS/TCS).
• Monitor and manage activities related to Name Screening (Sanctions, PEP, Adverse Media) and review suspicious transaction alerts (STRs).

Desired Profile: Qualifications, Skills, and Mindset

To excel in this critical and independent role, you must possess a unique blend of robust compliance expertise, strong independent judgment, and a proactive approach.

A. Educational & Professional Credentials:

• CA (Chartered Accountant) or CS (Company Secretary) is highly preferred/essential.
• LLB, MBA (Finance), or other relevant professional qualifications will also be considered.
• Additional certifications like CFA or FRM are a plus.

B. Experience:

• 5-10 years of progressive experience in compliance, regulatory affairs, or risk management within the financial services industry.
• Demonstrated experience in independently managing an entire compliance function.
• Prior experience working within GIFT City (IFSC) is a significant advantage, showcasing direct familiarity with IFSCA and SEZ regulations.
• Experience with AIF/PMS regulations and knowledge of offshore fund structures is highly preferred.
• Exposure to entities regulated by SEBI or RBI is valuable.

C. Skills & Attributes:

• In-depth Knowledge: Comprehensive understanding of IFSCA, SEBI, RBI, FEMA, Companies Act, SEZ Act, AML, KYC, and FATCA regulations.
• Strong Analytical Skills: Exceptional ability to interpret complex legal and regulatory texts and translate them into practical, actionable policies and procedures.
• Independent & Proactive: Proven ability to work autonomously, take initiative, manage multiple priorities, and meet stringent deadlines in a demanding environment.
• Excellent Communication: Superior written and verbal communication skills to effectively liaise with regulators, auditors, senior management, and internal teams.
• Detail-Oriented: Meticulous attention to detail in all compliance processes, filings, and documentation.
• High Ethical Standards: Unwavering integrity and a strong commitment to ethical conduct and regulatory principles.
• Local Presence: Preference will be given to candidates currently based in Ahmedabad or those willing to relocate to Ahmedabad/GIFT City.

Why Join Our Client in GIFT City?

• Pioneering Role: Be a key player in managing the compliance function of a growing asset management firm within India's strategic IFSC.
• Autonomy & Impact: Take full ownership of compliance for the GIFT City office, with your expertise directly safeguarding the firm's operations.
• Specialized Expertise: Deepen your knowledge of the unique IFSCA regulatory framework, becoming an expert in this niche and high-demand area.
• Strategic Location: Work in GIFT City, an emerging global financial hub, offering unique career development opportunities.
• Collaborative Environment: While independent, you'll benefit from the oversight and collaboration with our experienced Mumbai office.

If you are a highly capable and independent Compliance professional ready to take on the challenge of managing the entire compliance landscape in GIFT City for a reputable asset management firm, we encourage you to apply.