Compliance - Compliance Officer

Interactive Brokers; India; Remote; INR 1,200,000 - 1,800,000; Full time

Job summary

Interactive Brokers India invites a highly motivated Compliance Officer to join the GIFT IFSC entity. The role focuses on ensuring adherence to IFSCA, SEBI and related regulatory requirements, with a proactive approach to identifying and mitigating compliance risks.

The candidate will develop and maintain internal policies, conduct risk assessments and audits, lead staff training, and prepare reports for management and regulators, upholding data integrity and governance.

Qualifications

• Qualified Company Secretary from ICSI is mandatory.
• Experience in compliance and risk management in financial services.
• Familiarity with IFSCA/SEBI regulations is highly desirable.

Responsibilities

• Ensure compliance with IFSCA, SEBI and applicable laws.
• Develop and maintain internal compliance policies.
• Conduct risk assessments and implement monitoring.
• Lead compliance training for staff.
• Conduct internal audits and address gaps.
• Prepare reports for senior management and regulators.
• Maintain accurate records of compliance activities and communications.

Skills

Regulatory knowledge

Risk assessment

Internal audits

Training and awareness

Communication skills

Data management

Analytical thinking

Education

Company Secretary (ICSI)

CAMS

ACCA

Law degree

Tools

MS Office

Compliance software

Job description

Job Summary

About the Role We are seeking a highly motivated and experienced Compliance Officer to join our GIFT IFSC entity. The ideal candidate will play a pivotal role in ensuring our operations adhere to all applicable laws, regulations, and internal policies of the International Financial Services Centers Authority (IFSCA), SEBI, and other relevant regulatory bodies. This position requires a proactive approach to identifying and mitigating compliance risks, while fostering a culture of integrity and regulatory adherence across the organization.

Responsibilities

• Regulatory Compliance: Ensure strict adherence to IFSCA regulations, SEBI guidelines, and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.
• Policy Development & Implementation: Develop, maintain, and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.
• Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.
• Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.
• Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.
• Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified. Serve as the primary point of contact for regulatory inquiries and submissions.
• Data Management: Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications. Ensure data integrity and confidentiality.

Qualifications

• Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.
• Experience: Minimum of 2 years of experience in compliance, risk management, or a related field, preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.
• Skills: Strong understanding of financial regulations and compliance requirements. Excellent analytical and problem-solving skills. Strong attention to detail and ability to manage multiple tasks simultaneously. Excellent communication and interpersonal skills. Proficiency in MS Office and compliance management software.