Job highlights

- A professional qualification or postgraduate degree / postgraduate diploma of at least one year in Finance,Law,Accountancy,Business Management,Commerce,Economics,Capital Markets,Banking,Insurance,Actuarial Science,FinTech,Science,Technology,Engineering or Mathematics

Job Summary

The Principal Officer (PO) will be responsible for the overall operations, governance and management of the Company's Broker-Dealer and Introducing Broker business in GIFT IFSC. The PO will ensure that the Company's GIFT City operations are in accordance with applicable IFSCA regulations, circulars, directions and other regulatory requirements, while maintaining an effective governance, operational and control framework.

Responsibilities

- Responsible for overall governance and operational oversight of the Company's Broker-Dealer activities in GIFT IFSC and ensure compliance with applicable regulatory requirements.

- Oversee day-to-day operations, including client onboarding, order and trade execution, clearing and settlement, reconciliations and operational controls, as applicable.

- Act as a key point of contact with IFSCA, recognised stock exchanges (India INX/ NSE IX) and other relevant regulatory or market institutions, as applicable.

- Build rapport and maintain an excellent relationship with such institutions.

- Ensure effective implementation of the Company's AML/CFT, KYC, Customer Due Diligence CDD, Enhanced Due Diligence EDD, sanctions screening and transaction monitoring framework in accordance with applicable regulatory requirements.

- Ensure periodic Money Laundering and Terrorist Financing ML/TF risk assessments are conducted and appropriate mitigating controls are implemented across the Broker-Dealer business.

- Oversee identification,



investigation and reporting of Suspicious Transaction Reports STRs or any other regulatory reports, as applicable, and ensure timely escalation to the relevant authorities in accordance with applicable laws.

- Ensure appropriate arrangements are maintained for the handling, segregation and protection of client funds and securities/assets, wherever applicable.

- Ensure adequate systems, infrastructure, internal controls, risk-management arrangements and business continuity measures commensurate with the nature and scale of the Broker-Dealer and Introducing Broker activities.

- Ensure that appropriate policies, procedures and Standard Operating Procedures SOPs are established and effectively implemented across the Broker-Dealer s operations.

- Oversee timely completion of applicable regulatory reporting, statutory filings and disclosures through the respective responsible functions.

- Coordinate with business, product, technology, operations, finance, legal and compliance teams in relation to new products, material process changes and integrations, ensuring that new products or material business initiatives are implemented only after applicable regulatory, compliance, operational and risk requirements have been addressed.

- Provide appropriate reporting and escalation to the Board and senior management regarding material operational, regulatory and business matters.





Qualifications

- A professional qualification or postgraduate degree/postgraduate diploma of at least one year in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Markets, Banking, Insurance, Actuarial Science, FinTech, Science, Technology, Engineering or Mathematics; or CFA / FRM; or such other relevant qualification as may be specified by IFSCA.

- Provided that minimum three years of experience in the financial services market.

- Alternatively, a graduate degree in any discipline with at least three years of work experience in the financial services market, in accordance with applicable IFSCA requirements.

- Relevant experience in capital markets, securities brokerage, broker-dealer operations, trading, clearing and settlement or related regulated financial-services activities is preferred.

- Robust understanding of capital-market regulations, brokerage operations, operational controls, governance and risk-management frameworks.

- Strong stakeholder-management capabilities, including interaction with regulators, exchanges, auditors, financial institutions and senior management.

- High standards of integrity, accountability and regulatory judgement.

- Must be based out of the IFSC, as required under applicable IFSCA regulations.

- Must complete certification course Regulatory Framework for Capital Market Intermediaries in IFSC (ICSI) as prescribed by IFSCA.

Disclaimer: This has been sourced from a public domain and may have been modified by Naukri.com to improve clarity for our users. We encourage job seekers to verify all details directly with the employer via their official channels before applying.

📌 Principal Officer (Gandhinagar)
🏢 Coindcx
📍 Gandhinagar