Principal Officer - Compliance - Broking

Key Responsibilities:

1. Regulatory Compliance

- Act as the principal point of contact for IFSCA for IM and other regulatory authorities.

- Ensure the organization's adherence to all GIFT City / IFSC regulations and guidelines.

- Prepare, review, and submit periodic compliance reports to the regulator.

2. Risk & Governance

- Develop and maintain a compliance framework and risk management policy.

- Monitor regulatory changes and ensure timely implementation of the same.

- Conduct periodic internal audits and compliance checks.

3. Operational Oversight

- Supervise the day-to-day operations to ensure all activities comply with regulatory requirements.

- Maintain and manage records, disclosures, and statutory filings as per IFSC norms.

4. Liaison & Reporting

- Coordinate with statutory auditors, internal teams, and regulatory authorities.

- Provide regular updates to the senior management and Board on compliance status.

5. Training & Awareness

- Conduct compliance and regulatory training for internal teams.

- Ensure awareness of evolving regulatory requirements within the organization.