- Compliance Officer for Broking, Global Access Market, Distribution & Insurance in GIFT City, Gandhinagar.. This is a full-time, on-site role.. Key Responsibilities:. Ensure compliance with IFSCA regulations & AML/CFT processes. Lead client operations & risk management. Drive business growth & expand distribution networks. Regulatory Compliances & Reporting with SEZ, IFSCA, Exchanges etc.. Preparation of Policies, SOPs, noted etc.. Qualifications:. Post-graduate/professional degree in finance, law, or related fields. 5+ years experience in capital markets or financial services. Strong regulatory & leadership expertise. Show more Show less

- We are seeking an experienced and detail-oriented Compliance Officer to oversee compliance, regulatory affairs, and risk management for our Broking, Global Access Market, Distribution, and Insurance businesses in GIFT City. The ideal candidate will have in-depth knowledge of IFSCA regulations, SEZ requirements, AML/CFT frameworks, and hands-on experience in managing compliance in capital markets or financial services.

- This role requires strong regulatory expertise, leadership skills, and the ability to collaborate with multiple stakeholders to ensure governance, compliance, and business growth.

Key Responsibilities:

- Ensure strict compliance with IFSCA, SEZ, and exchange regulations.

- Develop, implement, and maintain compliance frameworks, SOPs, and internal policies.

- Monitor regulatory updates and guide the management team on implications and required actions.

- Prepare and file timely regulatory reports and returns with IFSCA, SEZ, Exchanges, and other authorities.

- Conduct regular compliance risk assessments, gap analysis, and internal audits.

- Oversee AML/CFT processes, KYC compliance, and client onboarding checks.

- Implement and monitor risk management practices in broking, distribution, and global access markets.

- Ensure operational activities align with compliance and regulatory requirements.

- Investigate compliance breaches, incidents, or irregularities and recommend corrective actions.

- Act as the compliance advisor for business teams, ensuring regulatory alignment in new products, services, and partnerships.

- Support business growth initiatives while maintaining robust compliance structures.

- Liaise with regulators, auditors, and external stakeholders on compliance matters.

- Train and educate staff on compliance policies, regulatory guidelines, and ethical practices.

- Draft and maintain policies, SOPs, compliance manuals, and governance notes.

- Maintain detailed compliance records, approvals, and audit trails.

- Prepare periodic compliance MIS reports and dashboards for senior management and regulators.

Required Qualifications & Skills:

- Postgraduate or professional degree in Finance, Law, Business Administration, or related fields.

- Professional certifications in compliance, governance, or risk management will be an added advantage.

- 5 - 9 years of experience in Capital Markets, Broking, Financial Services, or Distribution businesses.

- Proven track record in handling compliance and regulatory affairs in SEZ/GIFT City/IFSCA frameworks.

- Strong understanding of IFSCA regulations, AML/CFT guidelines, and SEZ compliance.

- Familiarity with broking operations, distribution models, and global access market workflows.

- Hands-on experience with compliance monitoring tools and regulatory reporting platforms.

- Strong leadership, decision-making, and team management skills.

-Excellent verbal and written communication skills.

- High integrity, attention to detail, and problem-solving ability.

- Ability to balance regulatory requirements with business needs.

- Opportunity to work at the forefront of India's International Financial Services hub (GIFT City).

- Be part of a growing financial institution with exposure to global markets, broking, distribution, and insurance.

- Leadership-driven role with direct impact on compliance governance and business growth.

- Collaborative, fast-paced, and innovation-friendly work culture.