Compliance - Compliance Officer

Interactive Brokers Group
India
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceExperience: 2+ yearsEducation: certificationSkills: ["Analytical","Problem-solving","Attention to detail","Communication","Interpersonal skills","Multi-tasking"]

Ensure the organization’s GIFT IFSC operations comply with IFSCA regulations, SEBI guidelines, and applicable laws. Develop and maintain internal compliance policies, conduct ongoing risk assessments and monitoring, and run internal audits to identify and remediate compliance gaps. Lead employee compliance training, manage accurate compliance records, and provide regular reporting and serve as the primary contact for regulatory inquiries and submissions.

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FursaFursa
Interactive Brokers Group
Interactive Brokers Group
1 month ago

Compliance - Compliance Officer

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Source: Company careers pageValidated by: Fursa AI
Last checked: 6 days agoStatus: Live

Job Summary

Ensure the organization’s GIFT IFSC operations comply with IFSCA regulations, SEBI guidelines, and applicable laws. Develop and maintain internal compliance policies, conduct ongoing risk assessments and monitoring, and run internal audits to identify and remediate compliance gaps. Lead employee compliance training, manage accurate compliance records, and provide regular reporting and serve as the primary contact for regulatory inquiries and submissions.
Location: India
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Ensure adherence to IFSCA regulations, SEBI guidelines, and other applicable laws, including implementing updates to policies and procedures.
  • •Develop, maintain, and update internal compliance policies and procedures and ensure stakeholders understand them.
  • •Conduct regular compliance risk assessments and implement monitoring systems to address gaps promptly.
  • •Lead employee compliance training sessions and promote awareness of compliance requirements and best practices.
  • •Perform internal audits, maintain compliance records, and prepare regular reports for senior management and regulatory authorities while serving as the primary regulatory contact.

Key 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 financial services.
  • •Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.
  • •Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.
  • •Strong understanding of financial regulations and compliance requirements, with excellent analytical and communication skills.
Experience:2+ yearsFinancial services
Education:Certification / Diploma
Skills:AnalyticalProblem-solvingAttention to detailCommunicationInterpersonal skillsMulti-tasking
Certifications:ICSI Company SecretaryCAMSACCA
Tech Stack:MS OfficeCompliance management software

Company Brief

Interactive Brokers Group
Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Greenwich, United States
Founded: 1977
WebsiteLinkedIn