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Experience: 8+ yrs
Location: GIFT City, Gujarat, India, Ahmedabad, Gujarat, India
Job Type: Full-time
We are looking for an experienced Principal Officer to lead regulatory compliance, governance, and local operations for a broking entity operating from GIFT City, Gujarat. The role will serve as the key point of contact for regulatory and exchange-related matters and will be responsible for ensuring adherence to the IFSCA regulatory framework, exchange requirements, AML obligations, and applicable statutory regulations.
The ideal candidate will combine solid regulatory knowledge with practical experience in broking, trading, compliance monitoring, and branch management, along with the ability to represent the organisation before regulators and other external stakeholders.
Key Responsibilities
Act as the designated Principal Officer and primary point of contact for regulatory and compliance matters.
Ensure adherence to IFSCA statutory, regulatory,



and exchange obligations applicable to the broking entity.
Maintain comprehensive knowledge of the IFSCA regulatory framework and international trading norms.
Monitor compliance with IFSCA regulations, exchange bye-laws, rules, circulars, and applicable regulatory directions.
Develop, maintain, and implement internal compliance manuals, policies, and monitoring frameworks aligned with IFSCA requirements.
Oversee the organisation's Anti-Money Laundering (AML) framework and ensure compliance with PMLA, 2002and applicable rules.
Monitor transactions and business activities to identify potential compliance risks and ensure appropriate reporting of suspicious transactions.
Ensure that the intermediary continuously maintains its fit and proper status.
Manage regulatory reporting, compliance reviews, audits, inspections, and regulatory correspondence.
Coordinate with regulators, exchanges, clearing corporations, and other releva

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