Job
Description
As a Compliance Manager, you will be responsible for overseeing compliance with IFSCA regulations, SEBI rules, and all applicable laws governing financial/market activities in GIFT City. Your key responsibilities will include: - Drafting, updating, and implementing compliance policies, SOPs, and internal control frameworks. - Conducting periodical compliance checks, internal audits, and regulatory reporting. - Liaising with regulators, auditors, exchanges, and legal teams for timely submissions and clarifications. - Monitoring changes in laws/regulations and ensuring prompt policy updates. - Reviewing and approving new products, processes, and client onboarding from a compliance standpoint. - Ensuring timely filing of statutory returns, reporting, and documentation. - Training employees on regulatory requirements, risk controls, and compliance best practices. - Investigating compliance breaches, preparing action reports, and implementing corrective measures. - Maintaining complete documentation of compliance records and inspection reports. Qualifications required for this role include: - Strong knowledge of IFSCA / SEBI / RBI / FEMA regulations. - Experience in Broking, Investment, Capital Markets, NBFC, or FinTech compliance. - Excellent understanding of regulatory reporting and audit processes. - Strong documentation, policy-drafting, and analytical skills. - Ability to work in a fast-paced, new-setup environment. - High attention to detail and risk management mindset. - Strong communication and coordination skills. If you have prior experience working in GIFT City entities or handling IFSCA compliance, exposure to capital markets, equity broking, investment advisory, or financial operations, or experience in handling regulatory inspections or compliance audits, it would be considered a plus. Please note that the job type is full-time and the work location is in person at Ahmedabad, Gujarat (Preferred). As a Compliance Manager, you will be responsible for overseeing compliance with IFSCA regulations, SEBI rules, and all applicable laws governing financial/market activities in GIFT City. Your key responsibilities will include: - Drafting, updating, and implementing compliance policies, SOPs, and internal control frameworks. - Conducting periodical compliance checks, internal audits, and regulatory reporting. - Liaising with regulators, auditors, exchanges, and legal teams for timely submissions and clarifications. - Monitoring changes in laws/regulations and ensuring prompt policy updates. - Reviewing and approving new products, processes, and client onboarding from a compliance standpoint. - Ensuring timely filing of statutory returns, reporting, and documentation. - Training employees on regulatory requirements, risk controls, and compliance best practices. - Investigating compliance breaches, preparing action reports, and implementing corrective measures. - Maintaining complete documentation of compliance records and inspection reports. Qualifications required for this role include: - Strong knowledge of IFSCA / SEBI / RBI / FEMA regulations. - Experience in Broking, Investment, Capital Markets, NBFC, or FinTech compliance. - Excellent understanding of regulatory reporting and audit processes. - Strong documentation, policy-drafting, and analytical skills. - Ability to work in a fast-paced, new-setup environment. - High attention to detail and risk management mindset. - Strong communication and coordination skills. If you have prior experience working in GIFT City entities or handling IFSCA compliance, exposure to capital markets, equity broking, investment advisory, or financial operations, or experience in handling regulatory inspections or compliance audits, it would be considered a plus. Please note that the job type is full-time and the work location is in person at Ahmedabad, Gujarat (Preferred).
