Job Preference:
Educational Qualifications & Experience
• Graduate in Commerce, Finance, Law, Business Administration, or a related discipline.
• A postgraduate qualification in Finance or Law, or a professional qualification such as Company
Secretary (CS), will be an added advantage.
• Relevant experience in IFSC compliance, fund administration, regulatory reporting, or financial
services will be preferred.
• Prior exposure to IFSCA regulations and fund management operations will be an advantage.
Key Performance Indicators (KPIs)
• Timely and accurate completion of applicable IFSCA regulatory filings and reporting obligations.
• Timely closure of PPM audit observations and compliance review findings.
• Accuracy and completeness of regulatory records, statutory registers, and compliance trackers.
• Timely completion and documentation of fund-related corporate actions.
• Adherence to AML/CFT, KYC, and other applicable regulatory requirements.
• Effective coordination with IFSCA, trustees, auditors, RTAs, depositories, and other stakeholders.
• Improvement in the efficiency and accuracy of recurring compliance processes.
Qualification:
Any GraduateJob Description:
1. IFSCA & Regulatory Compliance
• Ensure compliance with the applicable IFSCA (Fund Management) Regulations, guidelines,
circulars, directions, orders, consultation papers, and other regulatory communications.
• Maintain updated records of applicable regulatory requirements and ensure timely
implementation of regulatory changes.
• Monitor regulatory updates and assess their impact on fund management operations and
compliance procedures.
• Maintain compliance calendars, trackers, statutory records, and supporting documentation to
ensure adherence to regulatory deadlines.
2. AML/CFT & KYC Compliance
• Ensure compliance with applicable Anti-Money Laundering (AML), Combating the Financing of
Terrorism (CFT), and KYC requirements.
• Coordinate with relevant internal teams and external service providers for investor KYC
documentation, verification, and related compliance activities.
• Maintain appropriate records and assist with applicable AML/CFT regulatory reporting and
disclosures.
• Monitor pending compliance requirements and ensure timely resolution of KYC-related queries
and discrepancies.
3. Regulatory Reporting & Process Improvement
• Manage periodic regulatory filings, including applicable quarterly reports and other submissions
to the International Financial Services Centres Authority (IFSCA).
• Coordinate and support trustee-level compliance requirements, wherever applicable.
• Assist in developing and improving processes to streamline regulatory reporting and recurring
compliance activities.
• Maintain reporting schedules, documentation, and internal controls to enhance the efficiency
and accuracy of day-to-day compliance operations.
• Coordinate with internal stakeholders to collect, verify, and submit information within prescribed timelines.
4. PPM Audits & Compliance Reviews
• Assist in conducting Private Placement Memorandum (PPM) audits and compliance reviews for
funds managed by the IFSC Fund Management Entity.
• Coordinate with auditors, internal teams, trustees, and other relevant stakeholders for audit-
related documentation and information.
• Track audit observations, coordinate corrective actions, and ensure timely closure of
observations, wherever applicable.
• Maintain audit records and supporting documents for future reference and regulatory reviews.
5. Fund Operations & Corporate Actions
• Manage and coordinate corporate actions relating to unit allotments, redemptions, and
conversion of partly paid-up units into fully paid-up units, in accordance with applicable
regulations and fund documents.
• Coordinate with relevant stakeholders to ensure accurate processing, documentation, and
record maintenance of fund-related transactions.
• Ensure that corporate actions are carried out within applicable timelines and in accordance with
the fund's governing documents and regulatory requirements.
• Maintain records of completed and pending corporate actions and follow up on outstanding
matters.
6. Regulatory & Stakeholder Coordination
• Liaise with IFSCA, Registrars and Transfer Agents (RTAs), Depositories, Depository Participants
(DPs), the Central KYC Records Registry (CKYCR), and KYC Registration Agencies (KRAs), as
applicable.
• Coordinate with trustees, auditors, legal advisors, and external service providers for regulatory
filings, confirmations, compliance documentation, and related matters.
• Follow up on pending regulatory and operational requirements and ensure timely resolution of
queries.
• Support communication with regulatory authorities and other stakeholders as required.
7. Legal Documentation & Statutory Compliance
• Assist in drafting, reviewing, and maintaining fund-related agreements, declarations, notices,
undertakings, regulatory correspondence, and other compliance documents.
• Support the review and maintenance of fund documentation to ensure consistency with
applicable regulations and governing documents.
• Maintain working knowledge of the Companies Act, 2013, the Limited Liability Partnership (LLP)
Act, and other applicable statutory and regulatory provisions.
• Coordinate with legal advisors and internal stakeholders on regulatory interpretation,
documentation, and statutory compliance matters.
8. Compliance Monitoring & Record Management
• Maintain compliance trackers, statutory registers, regulatory filing records, and supporting
documentation.
• Monitor regulatory deadlines and proactively follow up with internal teams to ensure timely
completion of compliance activities.
• Identify potential compliance gaps, delays, or operational risks and escalate them to the
appropriate stakeholders.
• Ensure proper record retention and readiness for internal reviews, audits, and regulatory
inspections.
• Assist in implementing process improvements to strengthen compliance controls and operational efficiency.
Skills:
Required Skills & Competencies
• Good understanding of IFSCA (Fund Management) Regulations and the regulatory framework
applicable to IFSC fund management entities.
• Knowledge of AML/CFT requirements, KYC procedures, and related regulatory reporting.
• Familiarity with PPM audits, periodic regulatory filings, trustee-level compliances, and fund-
related corporate actions.
• Working knowledge of the Companies Act, 2013, LLP Act, and other relevant statutory
provisions.
• Strong documentation, analytical, and coordination skills.
• Proficiency in MS Excel, Word, and compliance reporting tools.
• Excellent written and verbal communication skills.
• Strong attention to detail and the ability to manage multiple deadlines effectively.
• Ability to coordinate with internal teams, regulators, auditors, trustees, and external service provider.