About the role
Position: Compliance Officer – Broking, Global Access Market, Distribution & Insurance
Experience: 5+ years
Location: Gandhinagar, Gujarat, India
Employment Type: Full-time, On-site
About the Role
We are looking for an experienced Compliance Officer to join our team in Gandhinagar, Gujarat. The ideal candidate will ensure adherence to regulatory requirements while leading client operations, risk management, and supporting business growth in broking, global market access, distribution, and insurance domains.
Key Responsibilities
- Ensure compliance with IFSCA regulations and AML/CFT processes.
- Lead client operations and risk management to safeguard business interests.
- Drive business growth initiatives and expand distribution networks.
- Manage regulatory compliance and reporting with SEZ, IFSCA, Exchanges, and other authorities.
- Prepare and maintain policies, SOPs, and internal notes to ensure robust compliance frameworks.
- Collaborate with business and operations teams to ensure compliance requirements are integrated seamlessly.
Qualifications
- Post-graduate or professional degree in Finance, Law, or related fields.
- Minimum 5+ years of experience in capital markets or financial services.
- Strong expertise in regulatory compliance and leadership roles.
- Candidates with prior experience in Broking Firms, NBFCs, Insurance, or BFSI sector strongly preferred.
Skills & Competencies
- In-depth knowledge of capital market regulations and financial services compliance.
- Strong leadership, decision-making, and stakeholder management skills.
- Excellent communication and documentation abilities.
- Ability to balance compliance rigor with business growth initiatives.