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

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

Job Summary

The Compliance Officer (CO) will be responsible for establishing, implementing and independently overseeing the regulatory compliance framework for the Company's Broker-Dealer and Introducing Broker operations in GIFT IFSC. The CO will monitor adherence to applicable IFSCA regulations, circulars, directions and other regulatory requirements and provide independent compliance advice, monitoring and challenge to the business.

Responsibilities

- Establish, implement and maintain an effective regulatory compliance framework for the Broker-Dealer and Introducing Broker activities and monitor ongoing compliance with the IFSCA (Capital Market Intermediaries) Regulations, applicable Broker-Dealer requirements, exchange requirements and circulars and directions.

- Act as a key point of contact for IFSCA, recognised stock exchanges (India INX/NSE IX) and other relevant authorities on compliance-related matters, as applicable.

- Maintain a regulatory obligations and compliance calendar and oversee timely completion of regulatory filings, returns, disclosures, certifications and other periodic obligations.

- Monitor regulatory developments and assess their impact on the business products, processes, policies and control framework and ensure relevant policies, procedures and SOPs are updated accordingly.

- Oversee compliance with applicable requirements relating to client onboarding, KYC/CDD, AML/CFT, sanctions screening, transaction monitoring and record keeping, in coordination with designated AML personnel and relevant operational teams.

- Oversee compliance with applicable net worth, capital adequacy and other prudential requirements, in coordination with Finance and Compliance.

- Conduct periodic compliance monitoring,



testing and reviews to assess adherence to regulatory requirements and internal policies and escalate regulatory breaches or material compliance risks, and track corrective actions to closure.

- Review and provide compliance advice/sign-off, as appropriate, for new products, material process changes, client journeys and third-party arrangements prior to implementation.

- Monitor compliance with requirements relating to client funds and securities/assets, segregation, conflicts of interest, investor protection and conduct of business, wherever applicable.

- Review applicable client agreements, disclosures, risk disclosures and regulatory communications from a compliance perspective.

- Coordinate regulatory inspections and compliance audits, including tracking observations, remediation and maintaining appropriate records to support regulatory and audit readiness.

- Provide periodic compliance reporting to the Board and/or relevant committees, as applicable and provide periodic regulatory and compliance training and promote awareness of applicable regulatory obligations.

- Maintain appropriate compliance records and documentary evidence to support regulatory and audit readiness.

- Provide independent compliance advice and challenge business, operations, product and technology teams.

Requirements

- 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 two years of experience in the financial services market.

- Experience in another field may be considered with at least two years of work experience in a compliance-related role or function.





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

- A recognised Bachelor of Laws (LL.B.) are also specifically eligible.

- Relevant experience in capital markets compliance, securities/brokerage regulation, regulatory compliance, AML/CFT or financial-services compliance is preferred.

- Robust understanding of IFSCA regulations, Broker-Dealer requirements, regulatory reporting, client protection and compliance-monitoring frameworks.

- Strong regulatory interpretation, analytical, monitoring and documentation skills.

- Ability to exercise independent judgement, challenge and escalation on regulatory and compliance matters.

- Strong stakeholder-management skills, including interaction with regulators, exchanges, auditors and senior management.

- High standards of integrity, independence 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.

Desired profile

- You are knowledge-hungry when it comes to VDA and Web3, always eager to dive deeper and stay ahead in this evolving space.

- The world of Web3 and VDA excites you, fueling your curiosity and driving you to explore new opportunities within this dynamic landscape.

- You act like an owner, constantly striving for excellence, impact, and tangible results in everything you do.

- You embrace a We over Me mindset, growing individually while fostering the growth of those around you.

- Change is your catalyst, igniting your passion to build and innovate.

- You think outside the box, unbound by limitations or doubt, always pushing the boundaries of what's possible.

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.

📌 Compliance Officer (Gandhinagar)
🏢 Coindcx
📍 Gandhinagar