Compliance Officer

<p style="line-height:1;"><span style="font-family:Calibri;font-size:10px;"><b> </b></span><span style="font-family:Calibri;font-size:10px;"><b> </b></span><span style="font-family:Calibri;font-size:10px;"><b> </b></span></p><h2 style="margin:6pt 0in;line-height:1;"></h2><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">a)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Regulatory Compliance & Governance</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Ensure compliance with:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">IFSCA Act, regulations, circulars and guidelines</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Applicable FEMA, RBI, SEBI, IRDAI (where relevant)</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">International regulations (FATF, AML, KYC norms)</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Act as the principal compliance liaison with IFSCA and other regulators</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Keep management informed of regulatory developments and changes</span></span><p></p></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au"> </span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">b)</span><span> </span></span></span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Compliance Framework & Policies</span></span></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Develop, implement, and maintain:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Compliance policies and procedures</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Code of conduct and ethics framework</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Compliance manuals specific to IFSC operations</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Establish a risk-based compliance program</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Periodically review and update policies</span></span><p></p></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au"> </span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">c)</span><span> </span></span></span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">AML / KYC / Financial Crime Compliance</span></span></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Act as Designated Compliance Officer / MLRO (if required).</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Oversee:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">KYC/CDD/EDD processes</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Transaction monitoring systems</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Suspicious Transaction Reporting (STRs)</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Ensure compliance with:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Prevention of Money Laundering Act (PMLA)</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">FATF standards and IFSCA AML guidelines</span></span><p></p></li></ul></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au"> </span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">d)</span><span> </span></span></span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Monitoring, Surveillance & Testing</span></span></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Design and execute compliance monitoring programs</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Conduct:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Compliance testing and thematic reviews</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Internal audits support</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Track compliance breaches and ensure timely remediation</span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au"> </span></span></li></ul><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">e)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Regulatory Reporting</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Ensure accurate and timely filing of:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Regulatory returns</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Periodic compliance certificates</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">AML/STR filings</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Maintain proper documentation </span><span style="font-weight:bolder;"><span style="font-size:8pt;">for regulatory inspections</span></span></span><p></p></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au"> </span></span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">f)</span><span> </span></span></span><span style="font-weight:bolder;text-indent:-34pt;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Board & Committee Support</span></span></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Provide periodic compliance reports to:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Board / Audit Committee / Risk Committee</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Highlight Compliance gaps, Regulatory risks, Action plans</span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au"> </span></span></li></ul></li></ul><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">g)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Training & Awareness</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Conduct compliance training programs for employees</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Promote a strong compliance culture across the organization</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Ensure awareness of regulatory obligations among business teams</span><span style="font-size:8pt;"> </span></li></ul><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">h)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Advisory Role</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Advise business units on Regulatory implications of new products/services, Cross-border transactions and structuring</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Provide pre-clearance and compliance approvals where required</span><span style="font-size:8pt;"> </span></li></ul></li></ul><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">i)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Incident Management & Whistleblower Mechanism</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Handle Compliance breaches, Regulatory incidents</span></span><p></p></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Oversee whistleblower framework, Ensure proper investigation and reporting</span><span style="font-size:8pt;"> </span></li></ul></li></ul><p class="MsoNormal" style="margin:0px 0px 10px 34pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-34pt;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">j)</span><span> </span></span></span><span style="font-weight:bolder;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Inspection & Audit Handling</span></span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Act as the single point of contact for:</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">IFSCA inspections, Internal and external audits</span></span><p></p></li></ul></li><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:8pt;" xml:lang="en-au">Ensure closure of audit observations within timelines.</span></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au">Qualifications:</span></span></p><p></p><ul type="disc" style="margin-top:0in;background-color:rgba(128,128,128,0.114);"><li class="MsoNormal" style="text-align:justify;"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Chartered Accountant / Company Secretary / Law Graduate / MBA (Finance)</span></span><p></p></li><li class="MsoNormal"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Relevant certifications (preferred):</span></span><p></p><ul type="circle" style="margin-top:0in;"><li class="MsoNormal"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">CAMS / AML certifications</span></span><p></p></li><li class="MsoNormal"><span lang="en-au" style="font-size:11pt;" xml:lang="en-au"><span style="font-size:8pt;">Compliance or risk certifications</span></span><p></p></li></ul></li></ul><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span style="font-weight:bolder;"><span lang="en-au" style="font-size:8pt;line-height:12.2667px;" xml:lang="en-au">Knowledge:</span></span></p><p></p><p class="MsoNormal" style="margin:0px 0px 10px 15.6pt;background-color:rgba(128,128,128,0.114);text-align:justify;text-indent:-0.25in;line-height:34.5px;"><span lang="en-au" style="font-size:11pt;line-height:16.8667px;font-family:Symbol;" xml:lang="en-au"><span style="font-size:8pt;">·</span><span style="font-variant:normal;font-size:8pt;line-height:normal;"> </span></span><span lang="en-au" style="font-size:11pt;line-height:16.8667px;" xml:lang="en-au"><span style="font-size:8pt;">Strong domain knowledge of regulatory / compliance framework applicable for Gift City business, product filing / launches, operations of securities markets, alternative financial products, AIF structures etc.</span></span></p><p class="MsoNormal" style="background-color:rgba(128,128,128,0.114);text-align:justify;line-height:34.5px;"><span lang="en-au" style="font-size:11pt;line-height:16.8667px;" xml:lang="en-au">Minimum 12-15 years’ experience in compliance, risk or regulatory roles or with CA / law firms in their Gift City / AIF advisory division.</span></p><span style="font-family:Calibri;font-size:10px;"><b> </b></span><span style="font-family:Calibri;font-size:10px;"><b> </b></span><span style="font-family:Calibri;font-size:10px;"><b> </b></span>