compliance officer

Fiducrest

Role SummaryThe Compliance Officer will support the Principal Officer in ensuring that the Fund Management Entity operates in full compliance with all applicable laws, regulations, and internal policies. This role focuses on day-to-day compliance operations, regulatory reporting, and maintaining adherence to GIFT City and IFSCA guidelines while supporting the overall compliance framework.Key ResponsibilitiesRegulatory Compliance &amp; Monitoring<ul><li>Support ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines</li><li>Assist in end-to-end compliance with IFSCA, SEZ, SEBI and related regulatory frameworks</li><li>Prepare and file periodic reports, including monthly, quarterly, and annual filings with IFSCA</li><li>Ensure timely submission of regulatory forms, including AIF returns, KYC, and AML reporting</li><li>Monitor compliance with investment guidelines and fund mandates</li></ul>Policy Implementation &amp; Documentation<ul><li>Implement and monitor the fund&rsquo;s compliance policies, procedures, and controls as established by the Principal Officer</li><li>Maintain and update compliance manuals, SOPs, and internal policies</li><li>Assist in reviewing Fund Documents, Constitutional Documents and Policies</li><li>Maintain physical and digital filing systems for statutory and operational documents</li></ul>Financial Reporting &amp; Operational Support<ul><li>Support timely preparation of financial statements, audit support files, and reports for the AIF and FME</li><li>Coordinate with fund administrator/fund accountant for timely NAV calculations</li><li>Assist in reconciliation of bank accounts, investor contributions, investments, and expenses</li><li>Ensure accuracy of compliance-related financial reporting</li></ul>Stakeholder Coordination<ul><li>Coordinate with auditors, legal advisors, tax consultants, and regulators under supervision</li><li>Coordination with Administrator, Bank custodian, Clients, Team members and other entities in GIFT</li><li>Support investor onboarding (including KYC, FATCA, CRS compliance)</li><li>Handle Client Queries related to Compliance and escalate complex matters</li></ul>Fund Operations Compliance<ul><li>Monitor capital call and distribution notices, fund flows, and reporting to investors for compliance</li><li>Ensure compliance in coordination with custodians, bankers, fund administrators, and portfolio managers</li><li>Maintain investor records, drawdown schedules, commitment tracking for regulatory purposes</li><li>Support board and investor meetings documentation and ensure necessary resolutions compliance</li></ul>Specialized Compliance Areas<ul><li>Execute AML Compliances procedures</li><li>Support compliances of Ancillary Service Provider at GIFT City</li><li>Manage compliance documentation including board minutes, investor communications, and vendor agreements</li><li>Conduct regular compliance reviews and risk assessments</li></ul>Preferred Skills &amp; Competencies<ul><li>Strong understanding of IFSCA regulations, SEBI guidelines, and GIFT City operational framework</li></ul><ul><li>Experience with Alternative Investment Funds (AIF) and Fund Management Entity operations</li></ul><ul><li>Excellent knowledge of KYC, AML, FATCA, and CRS compliance requirements</li></ul><ul><li>Strong analytical and problem-solving skills</li></ul><ul><li>Excellent written and verbal communication skills</li></ul><ul><li>Ability to work under supervision while managing multiple compliance tasks</li></ul><ul><li>Proficiency in regulatory reporting and documentation</li></ul><ul><li>Strong attention to detail and accuracy</li></ul><ul><li>Ability to work collaboratively with the Principal Officer and senior management</li></ul>Job Type: Full-timePay: &#8377;40,000.00 - &#8377;60,000.00 per monthBenefits:<ul><li>Cell phone reimbursement</li><li>Commuter assistance</li><li>Work from home</li></ul>Location:<ul><li>Gandhinagar, Gujarat (Required)</li></ul>Work Location: In person

Compliance Officer

Unienrol Guru Tech Private Limited

Overview:The Risk and Compliance Officer will assist the Board and the Executive Team of Unienrol Guru in managing enterprise risks and monitoring compliance with applicable regulatory, legislative, and policy frameworks.Key Responsibilities:1. Risk Management:o Operationalise and maintain Unienrol Guru&rsquo;s risk management, critical incident, and business continuity frameworks and plans.o Ensure alignment of Unienrol Guru&rsquo;s governance, risk, compliance, and strategic objectives.o Identify and monitor emerging risks, including those related to academic programs, student support, and operational processes.o Assist managers in undertaking specific risk assessments.o Maintain the risk register and update the senior management on key risk areas.o Ensure risk controls and treatment plans are carried out effectively.2. Compliance Monitoring:o Develop, implement, and maintain Unienrol Guru&rsquo;s compliance framework, including the compliance register.o Monitor institutional compliance with the Higher Education Standards Framework (HESF), the National Code of Practice for Providers of Education and Training to Overseas Students 2018 (National Code), the Education Services for Overseas Students Act 2000 (ESOS Act), and the Australian Qualifications Framework (AQF).o Maintain up-to-date knowledge of legislative changes affecting the higher education sector.o Monitor compliance with the requirements of the Tertiary Education Quality and Standards Agency.o Provide advice on compliance risks and develop mitigation strategies to respond to specific compliance risks.3. Policies and Procedures:o Develop, implement, and regularly review risk and compliance policies and procedures to ensure they align with both institutional goals and external regulations.o Provide guidance to academic and administrative staff regarding policy reviews and any updates.o Monitor institutional practices to ensure they meet internal policies and external requirements.4. Analysis and Reporting:o Provide regular reports on risk and compliance to senior management and the Risk and Compliance Committee.o Monitor and report on annual quality assurance activities.o Prepare and submit compliance reports to senior management.5. Continuous Improvement:o Promote a culture of compliance across the institution, encouraging continuous improvement.o Lead or assist in initiatives designed to enhance the institution's compliance framework.Key Skills and Qualifications:<ul><li>Educational Background: A bachelor&rsquo;s degree in law, business, public administration, or a related field. A postgraduate qualification in education compliance, risk management, or regulatory affairs is desirable.</li><li>Experience: At least 3-5 years of experience in a compliance role, preferably within the higher education sector. Familiarity with Australian higher education regulations is essential.</li><li>Knowledge: Strong understanding of the relevant legislation and frameworks affecting the higher education sector.</li><li>Analytical Skills: Strong ability to analyze regulatory requirements, identify areas of risk, and provide solutions.</li><li>Communication Skills: Excellent verbal and written communication skills for preparing reports, liaising with regulatory bodies, and conducting training.</li><li>Attention to Detail: A high level of attention to detail, ensuring all aspects of compliance are meticulously managed.</li><li>Organizational Skills: Ability to manage multiple tasks and deadlines, often under pressure, in a fast-paced educational environment.</li></ul>Must be experienced in:<ul><li>Prior experience with an AICTE(All India council for Technical education)- Approved university or college is required for the role of compliance officer.</li></ul>Reporting:The Compliance Officer typically reports to the Director of Operations and the Chief Executive Officer (CEO).How to Apply:Please send your resume and a cover letter to &quot;arun@unienrolguru.com&quot; with the subject line &quot;Risk and Compliance Officer.&quot;We look forward to your application and the possibility of working together to shape the future of international education at Unienrol Guru!Job Types: Full-time, PermanentPay: From &#8377;30,000.00 per monthBenefits:<ul><li>Food provided</li></ul>Ability to commute/relocate:<ul><li>Chandigarh, Chandigarh: Reliably commute or planning to relocate before starting work (Required)</li></ul>Education:<ul><li>Master's (Required)</li></ul>Work Location: In personApplication Deadline: 23/04/2025

Priquant Ventures Private Limited

Job Title: Compliance Officer Location: Cybergreens, Sector-24, Gurgaon Employment Type: Full-TimeJob Summary:We are looking for a diligent and proactive Compliance Officer to ensure our organization complies with regulatory requirements and internal policies. The ideal candidate will have a strong foundation in law and corporate governance, ideally with qualifications in LLB and Company Secretary (CS). You will be responsible for implementing effective compliance programs, conducting audits, and promoting a culture of integrity and accountability.Key Responsibilities:<ul><li>Monitor and interpret applicable laws, rules, and regulations relevant to the company&rsquo;s operations.</li><li>Develop, implement, and maintain internal policies and procedures to ensure compliance.</li><li>Conduct internal audits, risk assessments, and compliance reviews.</li><li>Advise management and staff on compliance risks and regulatory developments.</li><li>Prepare and submit reports to regulatory authorities as required.</li><li>Investigate compliance issues and coordinate corrective actions.</li><li>Conduct compliance training and awareness programs across departments.</li><li>Maintain statutory records and ensure timely filings with regulatory bodies (e.g., ROC, SEBI, RBI if applicable).</li><li>Support the board and senior management in corporate governance matters.</li></ul>Education &amp; Qualifications:<ul><li>Bachelor&rsquo;s in Law (LLB) / Company Secretary (CS &ndash; ICSI) &ndash; candidates must hold either qualification.</li></ul>Experience:<ul><li>Minimum 3&ndash;5 years of experience in compliance, legal, company secretarial, or regulatory roles.</li><li>Experience in handling regulatory matters and working with authorities (SEBI, RBI, MCA, etc., if industry-specific).</li></ul>Skills:<ul><li>In-depth knowledge of applicable corporate and regulatory laws.</li><li>Strong analytical, problem-solving, and decision-making skills.</li><li>Excellent written and verbal communication.</li><li>High ethical standards and attention to detail.</li><li>Ability to manage multiple tasks and work in a fast-paced environment.</li></ul>Preferred Certifications (Optional):<ul><li>Certified Compliance &amp; Ethics Professional (CCEP)</li><li>Diploma in Corporate Laws or Governance</li></ul>Job Type: Full-timePay: &#8377;16,610.78 - &#8377;50,579.50 per monthAbility to commute/relocate:<ul><li>Gurugram, Haryana: Reliably commute or planning to relocate before starting work (Required)</li></ul>Application Question(s):<ul><li>What is your current CTC and expectation?</li><li>What is your notice period? If serving notice, what is your last working day?</li></ul>Work Location: In person

Bee InternationaL Immigration Consultancy

We Are Hiring !!Position : Compliance OfficerLocation : KochiExperience : 3+ YearsThose who are interested please share your updated CV to hr@techbank.financeJob Type: Full-timePay: &#8377;40,000.96 - &#8377;80,000.71 per monthBenefits:<ul><li>Health insurance</li></ul>Work Location: In person

Vision Financial Services, Inc

Compliance OfficerJob DescriptionReports to: COOCompany: CareEnrollDepartment: AdministrationTitle: Compliance OfficerClassification: Exempt Date: May 2025Company Values:Make a DifferenceHelp FirstStraight TalkGrow or DieVictor Not VictimPosition Summary:The Compliance Officer will spearhead our compliance program, ensuring administrative, operations, and IT policies and procedures align with critical regulations (PCI-DSS, TCPA, CMS/Medicare, HIPPA HI-TECH, etc.). They will interact with external auditors, manage our third-party risk management program, and coordinate the creation and implementation of compliance policies.The Compliance Officer maintains Hi-Trust and SOC II compliance including client and vendor contracts, developes contract management strategies, conducts audits, and ensures proper documentation. This role requires educating clients about their responsibilities under these standards, resolving contract-related issues, and staying current with changes in regulations to ensure ongoing compliance.This role involves overseeing the GRC (Governance, Risk and Compliance) process, scheduling regular control assessments, and developing reporting metrics for internal and external audits. The officer will be responsible for regulatory filings, responding to documentation requests, and training employees on security/compliance matters.The incumbent will also identify and assess risks, develop risk management strategies, and report on control failures, while providing remediation guidance. This role requires adaptability as responsibilities may change or be assigned at any time.Essential FunctionsReasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.1. Leading the system-wide compliance program, ensuring administrative, operations, and IT activities, processes, policies, and procedures meet defined requirements, policies and regulations (PCI-DSS, TCPA, CMS/Medicare, HIPPA HI-TECH, etc.).2. Interacting with external auditors on matters related to audits of the organization&rsquo;s internal controls.3. Coordinating the creation, review and implementation of policies and procedures.4. Managing internal continuous monitoring/audit efforts in alignment with regulatory requirements and security/privacy initiatives.5. Managing a third-party risk management (TPRM) program.6. Assessing product, compliance, or operational risks and developing risk management strategies.7. Filing regulatory reports and providing security/privacy program documentation to requesting parties.8. Implementing processes, such as GRC to automate and continuously monitor information security controls, exceptions, risks, and testing.9. Defining and documenting business process responsibilities and ownership of the controls in GRC tool, scheduling regular assessments, and testing of effectiveness of controls.10. Developing reporting metrics, dashboards, and evidence artifacts to support internal monitoring and external audits11. Training employees on security and compliance topics.12. Documenting and reporting control failures and gaps to stakeholders. Providing remediation guidance and preparing management reports to track remediation activities.13. Manages the required work to achieve and maintain key certifications: PCI-DSS, SOC II, and HI-TRUST.14. Other duties, responsibilities and activities may change or be assigned at any time with or without notice.Competencies1. Integrity2. Excellent written and verbal communication skills3. Problem solving creativity4. Thorough understanding of laws and regulations5. Self-starter - can perform the functions of the job and will have extra time once it hits a maintenance phase6. Design internal audit functions - keep up to date with upcoming changes to regulationsSupervisory ResponsibilityThis position has no supervisory responsibility.Work EnvironmentThis job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.Physical DemandsWhile performing the duties of this job, the employee is regularly required to talk or hear. The employee frequently is required to stand; walk; use hands to finger, handle or feel; and reach with hands and arms.Position Type and Expected Hours of WorkThis is a full-time position, and hours of work and days are Monday through Friday, 8:00 a.m. to 5 p.m. Evening and weekend work may be required as job duties demand.TravelTravel is primarily local during the business day, although some out-of-the-area and overnight travel may be expected.Required Education and Experience1. Bachelor&rsquo;s Degree2. Strong analytical and problem-solving skillsAdditional Eligibility Qualifications1. J.D. - preferred2. Highly self-motivated, self-directed, and attentive to detail3. Ability to work in a team environment4. Ability to handle multiple tasks, set priorities, schedule, and meet deadlinesPlease note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.We're an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.Job Type: Full-timeBenefits:<ul><li>401(k)</li><li>Dental insurance</li><li>Health insurance</li><li>Paid time off</li><li>Vision insurance</li></ul>Application Question(s):<ul><li>Are you located in Indiana or Michigan?</li><li>Do you have experience working with TCPA?</li><li>Do you have experience working with HITRUST certifications?</li><li>Do you have experience working with SOC-2 certifications?</li><li>What is your salary pay requirement for this position?</li><li>What is the best email address to reach you at?</li><li>Were you referred for this position?</li></ul>Work Location: Remote

BinHendi Holding

Compliance Officer / MLRODubai, United Arab EmiratesIndustry: Virtual Assets / Crypto ExchangeAbout the Company:We are a UAE based institutional grade crypto exchange operating under a regulatory license as a Virtual Asset Service Provider (VASP). Our core focus is enabling secure and compliant digital asset trading for institutional clients and qualified investors across sectors such as commodities, appliances, logistics, and more. The platform generates revenue via transaction spreads, fees, and commissions.About the Role:We are seeking an experienced Compliance Officer to lead our regulatory and compliance framework. The candidate must have a deep understanding of UAE regulatory environments related to crypto exchanges, including AML/CFT laws, FATF compliance, and reporting obligations under virtual asset regimes.Key Responsibilities:<ul><li>Ensure full compliance with UAE Virtual Asset regulatory frameworks, including VARA and/or FSRA/DFSA as applicable.</li><li>Develop and oversee implementation of AML/CFT policies, risk assessments, and transaction monitoring protocols.</li><li>Manage KYC onboarding procedures for institutional and qualified investor accounts.</li><li>Serve as the primary liaison with regulatory bodies, overseeing audits, inquiries, and periodic reporting.</li><li>Lead internal training and compliance culture building.</li><li>Monitor ongoing regulatory developments and ensure internal processes remain up to date.</li><li>Maintain records and documentation for all compliance and risk matters.</li></ul>Required Experience &amp; Qualification:<ul><li>Minimum 5 years of compliance experience, preferably in crypto, fintech, or financial services</li><li>Familiarity with UAE&rsquo;s regulatory landscape for Virtual Asset Service Providers (VARA, FSRA, CBUAE guidelines)</li><li>Strong knowledge of AML/CFT frameworks and FATF compliance standards</li><li>Experience with institutional client onboarding, digital asset risk monitoring, and suspicious activity reporting</li><li>Excellent communication and stakeholder management skills</li><li>Bachelor&rsquo;s degree in Law, Finance, Business, or related fields; certifications such as CAMS, ICA, or equivalent are an advantage</li></ul>All applications will be treated with strict confidentiality.Priority will be given to candidates who are available to join immediately.Job Type: Full-timePay: AED20,000.00 - AED30,000.00 per monthExperience:<ul><li>Compliance: 5 years (Required)</li><li>MLRO: 5 years (Required)</li></ul>

Franklin Templeton

<div></div><div><div>What is the Compliance Officer - Compliance Automation &amp; Surveillance responsible for?</div><ul><li><div>
The Compliance Officer - Compliance Automation &amp; Surveillance will play a pivotal role in leading a dynamic team that focusses on new tools &amp; automation of processes for Regulatory Compliance and the surveillance framework. This position will oversee the development, implementation, and maintenance of automated compliance solutions and surveillance systems. In this role, the individual will provide insights from a compliance perspective to ensure that the tools and framework are aligned to regulatory requirements. Furthermore, the AVP will be instrumental in building and nurturing a talented team, fostering a culture of innovation and excellence. In general, this position will be responsible for leading the Compliance Automation &amp; Surveillance team and assisting the Regulatory Compliance team in conducting their responsibility of oversight and monitoring.</div></li></ul><div></div><div>
What are the ongoing responsibilities of the Compliance Officer - Compliance Automation &amp; Surveillance?</div><div></div><div>
Key Responsibilities:</div><div></div><ul><li><div>
Solution Implementation: Oversee the design, implementation, and maintenance of automated compliance solutions, including workflow automation, data analytics, and reporting tools.</div></li><li><div>
Surveillance Systems: Manage the development and operation of surveillance systems to monitor compliance with regulatory requirements and internal policies. This includes market abuse surveillance and electronic communication surveillance.</div></li><li><div>
Team Management: Lead and mentor a team of dynamic professionals, providing guidance and support in their roles.</div></li><li><div>
Stakeholder Management: Collaborate with various stakeholders, including Compliance, FTT, external service providers and other business units, to ensure effective compliance oversight. Work with surveillance service providers including monitor performance and implementation of periodic enhancements.</div></li><li><div>
Continuous Improvement: Promote a culture of continuous improvement by regularly reviewing and refining development processes. Encourage team members to seek out new learning opportunities and stay current with industry trends</div></li></ul><div></div><div>
Required Qualifications and Skills:</div><div></div><ul><li><div>
Bachelor's degree in law, finance, computer science, or a related field.</div></li><li><div>
Advanced degree (e.g., MBA, JD) preferred.</div></li><li><div>
Minimum of 8-10 years of experience in compliance, risk management, or a related field.</div></li><li><div>
Strong understanding of compliance regulations and industry standards.</div></li><li><div>
Experience with compliance automation tools and technologies.</div></li><li><div>
Proficiency in data analysis and visualization tools.</div></li><li><div>
Excellent project management and organizational skills.</div></li><li><div>
Strong leadership and interpersonal skills.</div></li><li><div>
Ability to work independently and as part of a team.</div></li></ul><div></div><div>
Preferred Qualifications:</div><div></div><ul><li><div>
Certification in compliance or risk management (e.g., CIPP, CRCM, CERA).</div></li><li><div>
Experience in a regulated industry (e.g., financial services, healthcare).</div></li><li><div>
Knowledge of programming languages (e.g., Python, SQL).</div></li></ul><div></div><div>
If you are a highly motivated and results-oriented professional with a passion for compliance, we encourage you to apply for this exciting opportunity.</div><div></div><div>
Work Shift Timings - 2:00 PM - 11:00 PM IST</div></div><div></div>

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