Banking & Investment
12 Aug
Vice President - Compliance
Competitive Package as per market trend
Vice President - Compliance
Location: Gandhinagar, India
Job Role & Responsibilities
Lead implementation and management of all aspects of risk and compliance, including:
Impact analysis of regulatory changes
Driving coordination and execution of various risk and compliance work streams for the GIFT FME
Ensuring alignment with framework
Establish strong partnerships with the entity’s business team and interface with both risk and general compliance.
Monitor and track the progress of various work streams and initiatives under risk and compliance.
Provide policy/regulatory advice to address risks associated with the business.
Stay updated on regulatory changes to ensure proactive communication with the business.
Identify compliance risks and provide guidance on compliance advisory requirements.
Establish and implement Group standards and policies to manage current and emerging risks.
Monitor regulatory compliance areas, including:
Market abuse controls
Investment restrictions
Marketing material reviews
Website content & investor communication
Ensure timely submission of compliance reporting to the Group and regulatory submissions.
Manage alerts related to sanctions, AML, and suspicious transaction monitoring.
Liaise with relevant stakeholders, including regulators and industry bodies, on compliance matters.
Act as the Compliance Officer/Principal Officer under PMLA (Prevention of Money Laundering Act) and discharge regulatory obligations.
Specific Expertise Required
A professional qualification or post-graduate degree in finance, law, accountancy, business management, commerce, economics, capital market, banking, insurance, or actuarial science.
Experience of at least five (5) years in related activities in the securities market or financial products.
Minimum of 3 years of experience if the candidate possesses a professional qualification.
Experience in an eligible institution in IFSC, India, or any foreign jurisdiction is preferred.
Technical / Functional Skills
Knowledge of market infrastructure institutions, capital market intermediaries, and financial sector regulators.
Experience in consulting firms, advisory firms, or firms of Chartered Accountants in IFSC.
Membership of relevant professional institutions (e.g., ICAI, ICSI, ICMAI) or equivalent qualifications.
Certification courses as specified by IFSCA, including:
“Regulatory Framework for Fund Management in IFSC: AIFs and Retail Schemes”
“NISM-IFSCA-01: Certification Course on Anti-Money Laundering and Counter-Terrorist Financing in the IFSC”
Note
As an employee, you are required to perform your duties in a professional capacity, exercising independent judgment, discretion, and decision-making authority. You will represent the organization with relevant internal and external stakeholders and manage team capacity and leave in line with policy.