Compliance Officer - BFS

Position Name : Compliance Officer

Location : Gift City, Gandhinagar

Experience Range : 3+ yrs

Mandatory Requirement :

- Minimum 3+ years of Compliance experience with a Broker Dealer, Stock Broking, Capital Markets, Investment Banking, or Financial Services organization.

- Strong knowledge of IFSCA regulations, AML/KYC requirements, and regulatory reporting applicable to Broker Dealer entities in GIFT City.

- Hands-on experience in compliance monitoring, regulatory filings, audits, and inspections, with the ability to independently manage compliance obligations.

Job Roles and Responsibilities :

- Ensure compliance with applicable IFSCA regulations, circulars, guidelines, and other regulatory requirements governing Broker Dealer operations.

- Monitor day-to-day compliance activities and ensure adherence to internal policies and procedures.

- Assist in preparing and filing periodic regulatory reports, returns, and disclosures with IFSCA and other relevant authorities.

- Conduct compliance reviews and monitoring activities to identify regulatory gaps and recommend corrective actions.

- Support implementation and monitoring of AML, KYC, Sanctions Screening, and Anti-Fraud controls.

- Review client onboarding documentation and ensure compliance with regulatory requirements.

- Maintain compliance registers, records, policies, and standard operating procedures.

- Track regulatory developments and assess their impact on business operations.

- Coordinate with internal stakeholders, auditors, regulators, and external consultants on compliance-related matters.

- Assist in regulatory inspections, audits, and compliance testing exercises.

- Support employee compliance training and awareness programs.

- Prepare compliance MIS, exception reports, and management updates.

Qualification and Experience :

- Professional certifications such as LLB, CS, CA, CAMS, ICA, or relevant compliance certifications will be an added advantage.

- Minimum 3 years of compliance experience within a Broker Dealer, Stock Broking, Capital Markets, Wealth Management, Investment Banking, or Financial Services environment.