Compliance Officer

Job Title: Compliance Officer

Location: GIFT City, Gandhinagar, Gujarat

Experience: 8+ years of relevant experience preferred

Reports To: CEO / Board of Directors

Employment Type: Full-Time

Job Summary:

The Compliance Officer will be responsible for overseeing the organisation compliance framework for its financial services/ finance

company activities in GIFT IFSC. The role will support adherence to applicable IFSCA regulations, directions, circulars,

guidelines and other laws relevant to the entitys authorisation and business activities. The role includes monitoring regulatory

developments, maintaining effective internal controls, coordinating regulatory filings and inspections, and advising seniormanagement and the Board on compliance matters.

Key Responsibilities:

• Monitor compliance with the applicable IFSCA (Finance Company) Regulations, 2021, as amended, and relevant IFSCA

circulars, guidelines and directions, based on the entitys approved activities and authorisation.

• Develop, implement and periodically review compliance policies, procedures, compliance calendars and internal controls to

support regulatory and operational requirements.

• Track regulatory changes and assess their impact on the organisation; coordinate timely implementation of required policy,

process and control updates.

• Coordinate preparation, review and timely submission of regulatory returns, reports, disclosures, applications and other filings

required by IFSCA and other applicable authorities.

• Act as a key point of contact for IFSCA and other relevant regulators; coordinate responses to regulatory queries, inspections,

reviews and information requests.

• Monitor compliance across relevant NBFC / finance company activities, which may include lending, financing, credit, leasing,

factoring or other permitted activities, only where covered by the entitys authorisation.

• Support implementation and monitoring of AML/CFT, KYC, sanctions-screening, customer due diligence and

suspicious-transaction escalation controls, where applicable to the entitys business and regulatory obligations.

• Review business processes and transactions for compliance risks; identify gaps, document findings, recommend corrective

actions and follow up on closure.

• Maintain accurate compliance records, registers, regulatory correspondence, evidence of controls, Board / committee papers

and other documentation required under applicable rules.

• Provide compliance guidance to the CEO, Board, business teams and operational functions on regulatory obligations,

governance and conduct matters.

• Support enterprise risk management and coordinate with risk, legal, finance, operations, internal audit and external advisors

on compliance-related matters.

• Deliver compliance awareness and training to employees and maintain records of attendance and completion.
• Monitor applicable corporate governance, disclosure, fit-and-proper and senior-management requirements, and escalate

material breaches or potential non-compliance promptly.

Qualifications:

• Professional qualification or postgraduate degree/diploma in law, finance, accountancy, commerce, economics, business

management or a related discipline.

• CA, CS, CMA, LLB/LLM or other relevant professional qualifications will be an advantage, depending on the applicable

regulatory requirements.

Compliance Officer NBFC / Finance Company Page 1

• Relevant compliance certifications and knowledge of financial-services regulation are preferred.

Experience:

• 8+ years of experience in compliance, regulatory affairs, risk or governance within an NBFC, finance company, bank or other

regulated financial-services organisation.

• Working knowledge of the IFSCA (Finance Company) Regulations and the corporate governance and disclosure

requirements applicable to finance companies in GIFT IFSC.

• Experience handling regulatory reporting, compliance testing, policy reviews, regulatory inspections and remediation tracking.
• Understanding of AML/CFT, KYC, sanctions, financial crime controls and cross-border financial-services compliance is

desirable, where relevant to the business.

• Experience in GIFT IFSC / international financial services / cross-border transactions will be an advantage.

Skills & Competencies:

• Strong regulatory interpretation, analytical and problem-solving skills.
• High attention to detail and ability to manage multiple compliance deadlines.
• Excellent written and verbal communication skills for regulatory and senior-stakeholder interactions.
• Integrity, independence, sound judgement and a strong ethical approach.
• Ability to work collaboratively with senior management and cross-functional teams.
• Proficiency in MS Office and compliance tracking, reporting or risk-management tools.

Additional Requirements:

• Ability to work from GIFT City, Gandhinagar, Gujarat, as required by the role and applicable regulatory requirements.
• Willingness to support regulatory meetings, reviews and inspections, and travel when required.
• Must satisfy applicable fit-and-proper, integrity and background-verification requirements.

Important Note:

This job description is a role profile and should be validated against the organisations specific IFSCA authorisation, permitted

activities and current regulatory requirements before publication. An IFSCA-regulated Finance Company in GIFT IFSC may

not be legally identical to an NBFC regulated by the Reserve Bank of India in domestic India; use the regulatory framework

applicable to the entity.