Compliance Officer- Corporate

 Principal Officer (PO) – GIFT City

Location: GIFT City, Gandhinagar, Gujarat

Experience:- Minimum 5 Years

CTC:- ₹15-20

Job Description

We are looking for an experienced Principal Officer (PO) with a strong background in Financial Services, Fund Management, Investment Management or Capital Markets.

The candidate will be responsible for overseeing financial operations, ensuring regulatory compliance, and managing activities in accordance with applicable IFSCA regulations and guidelines.

Key Responsibilities

- Oversee fund management and financial services activities.

- Ensure compliance with applicable IFSCA regulations and guidelines.

- Monitor investment operations and financial activities.

- Handle regulatory reporting and documentation.

- Coordinate with internal teams and regulatory authorities.

- Support risk management and corporate governance activities.

Required Qualifications & Experience

- CA / CS / CMA / CFA / FRM / MBA Finance or relevant postgraduate qualification in Finance, Banking, Commerce, Economics, Law or Business Management.

- Minimum 5 years of relevant experience in Securities Markets or Financial Products.

- Experience in Fund Management, Investment Banking, Portfolio Management or Capital Markets.

- Knowledge of financial regulations and regulatory compliance.

- Relevant IFSCA-specified certification, wherever applicable.

Additional Eligibility: Candidates with at least 15 years of relevant Fund Management experience may also qualify with a Bachelor's Degree in any discipline, subject to applicable IFSCA regulations.

Interested candidates meeting the eligibility criteria are encouraged to apply.

Job title Sox Compliance Officer

Reporting to Potentiam company background (The Employer) Potentiam is a global provider of highly qualified professionals to European SMEs from our offices in Romania, South Africa and India. Potentiam works with clients in finance, energy, leisure, marketing, business services and technology industries, providing technical, professional multi- lingual highly motivated staff, most of whom have had experience of working for international companies. Staff cover a wide range of roles from accounting, marketing, data management, HR, sales/account management, engineering, technology, and operations. Potentiam manages our staff’s career development and personal development training, all infrastructure, HR and payroll with our clients directly managing day-to-day staff responsibilities and role training and development. Company website - https://potentiam.co.uk/

Potentiam’s client: It is a leading provider of independent medical examinations, peer reviews, bill reviews, Medicare compliance, record retrieval, document management and related services. It provide IME services through their medical panel of credentialed physicians and allied medical professionals. Their independent medical review process is fully contained within their private cloud network. Custom portals, applications, workflow enhancements and systems integration are part and parcel of their service. Their clients include property and casualty insurance carriers, law firms, third-party claim administrators and government agencies that use independent services to confirm the veracity of claims by sick or injured individuals under automotive, disability, liability and workers' compensation insurance coverages. They help clients in the U.S., Canada, the United Kingdom and Australia manage costs and enhance their risk management processes by verifying the validity of claims, identifying fraud and providing fast, efficient and quality IME services.

Industry: legal, insurance, and healthcare services.

Purpose of role:

We are seeking a Compliance Officer to join our compliance team. This role is responsible for auditing IT control activities, ensuring adherence to Sarbanes Oxley (SOx) requirements, and maintaining governance standards. The ideal candidate will work closely with external auditors, perform Entity-Level Controls (ELCs), and document narratives, processes, and procedures in a fast paced environment. Potentiam | Job Specification 2 of 2

Duties and responsibilities: Compliance & Audit Activities • Audit IT control operations performed by IT Controls Analysts to ensure compliance with SOx requirements. • Perform walkthroughs and testing of ITGCs and ELCs to validate control design and operating effectiveness. • Develop, maintain, and update SOx narratives, process flows, and control documentation. • Coordinate and liaise with external auditors during SOx audits and provide requested evidence. • Identify control gaps and recommend remediation plans in collaboration with stakeholders. • Experience with ISO 27001 and NIST CSF, including understanding of information security controls, risk management, control assessments, compliance requirements, and security governance practices. • Familiarity with Cyber Essentials Plus (CE+) and related security/compliance requirements, along with knowledge or experience using Vanta or similar GRC/compliance management platforms, is a strong plus. Governance & Reporting • Prepare compliance reports and dashboards for management review. • Ensure timely completion of SOx testing cycles and documentation updates. • Support risk assessments and contribute to strengthening the overall control environment. Collaboration & Communication • Work closely with IT, Finance, and Compliance teams to align SOx requirements with business processes. • Act as a point of contact for external auditors and internal stakeholders. • Provide training and guidance on SOx compliance and control documentation standards.

Skills/Experience • Experience in SOx compliance, auditing, and governance processes. • Strong knowledge of Entity-Level Controls (ELCs), ITGCs, and SOx documentation standards. • Experience with ISO 27001 and NIST CSF, including security controls, risk assessment, and compliance. • Familiarity with CE+ and Vanta or similar GRC/compliance platforms is a strong plus. • Ability to create and maintain narratives, process flows, and control matrices. • Excellent communication and stakeholder management skills. • Detail-oriented with strong analytical and problem-solving capabilities. Why Join Us? • Opportunity to play a critical role in compliance and governance initiatives. • Collaborative team environment with exposure to senior leadership and external auditors. • Professional growth in a dynamic, fast-paced environment.

Additional benefits • Health Insurance • Referral Bonus • Performance Bonus • Flexible Working options

Location and hours Bangalore Office / UK hours

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Key Responsibilities

● Verify client documents and evidence for accuracy, completeness, and compliance with company standards.

● Communicate effectively with clients to clarify discrepancies, request additional documentation, or provide updates.

● Maintain organized records of verification statuses and client interactions.

● Collaborate with internal teams to resolve documentation or process-related issues.

● Prepare and maintain reports summarizing verification outcomes.

● Manage daily tasks efficiently to meet deadlines and maintain workflow consistency. 

Key Responsibilities

● Verify client documents and evidence for accuracy, completeness, and compliance with company standards.

● Communicate effectively with clients to clarify discrepancies, request additional documentation, or provide updates.

● Maintain organized records of verification statuses and client interactions.

● Collaborate with internal teams to resolve documentation or process-related issues.

● Prepare and maintain reports summarizing verification outcomes.

● Manage daily tasks efficiently to meet deadlines and maintain workflow consistency. 

Key Requirements

Education: Bachelor's degree in any discipline with a strong academic record.

Experience: Freshers are welcome to apply.

Candidates with 6 months or more of experience in any field are also eligible; however, prior experience in backend operations, document verification, or customer support roles will be preferred.

Technical Skills:

● Proficiency in Microsoft Excel and basic computer applications.

● Familiarity with documentation tools and verification processes.

Communication Skills:

● Strong verbal and written communication in English.

● Ability to handle client communication professionally and clearly.

Other Skills:

● Excellent attention to detail and accuracy.

● Strong problem-solving and time management abilities.

● Willingness to work early morning shifts (5:00 AM – 2:00 PM IST). 

Manage day-to-day accounting operations and end-to-end payroll processing, and ensure timely, accurate compliance with government statutory requirements, supporting the organisation's financial reporting, audit readiness and regulatory standing.