Compliance Officer

About This Role

Being a Compliance Officer for the company's GIFT IFSC entity is a pivotal role, ensuring operations adhere to all applicable laws, regulations, and internal policies. 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

• 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
• Develop, maintain, and update internal compliance policies and procedures
• Ensure these are effectively communicated and understood by all relevant stakeholders
• Conduct regular risk assessments to identify potential compliance issues
• Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues
• Lead training sessions for employees on compliance requirements and best practices
• Ensure all staff are aware of and adhere to compliance policies
• Conduct internal audits to evaluate compliance with regulatory requirements
• Identify and address any compliance gaps or issues
• 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
• Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications
• Ensure data integrity and confidentiality

Requirements

• Qualified Company Secretary from ICSI (Institute of Company Secretaries of India)
• Minimum of 2 years of experience in compliance, risk management, or a related field, preferably in the financial services industry
• 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

Nice to have:

• Additional qualifications such as CAMS, ACCA, or a relevant law degree
• Experience with IFSCA regulations or similar regulatory frameworks

Benefits

• Work in a dynamic, fast-paced environment with a team of professionals dedicated to excellence

About the Company

Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies. For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. They serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.