Compliance officer

6 days ago

Bareilly, India InBrok Full time

Compliance Officer (CO) – In Brok (IFSC) Private Limited Location: GIFT City – IFSC , Gandhinagar Employment Type: Full-time | On-site Department: Compliance & Regulatory Affairs  --- About In Brok In Brok is an emerging-market broker-dealer in the IFSC ecosystem, positioned at the intersection of regulatory innovation, and next-generation capital markets infrastructure. As the IFSCA framework evolves, we’re scaling our governance capabilities with a proactive and future-ready outlook.  ---  Role Overview We are looking to onboard a Compliance Officer (CO) who will anchor our regulatory, surveillance, and governance agenda under the IFSCA (Capital Market Intermediaries) Regulations, 2025. This role is central to ensuring ongoing compliance, managing risk controls, and supporting our expansion across multi-registration verticals. The CO will work closely with the Principal Officer, Founders, and key functional leads to maintain an agile, compliant, and audit-ready operating environment. ---   Key Responsibilities   Oversee compliance with all relevant IFSCA regulatory frameworks, circulars, guidelines, and reporting obligations. Lead regulatory filings, inspections, and audit coordination (Internal/Statutory/IFSCA/NSE IX). Maintain and update compliance manuals, policies, SOPs, and internal control frameworks. Monitor client onboarding, AML/CFT, FATCA-CRS, risk profiling, and transaction surveillance. Manage key registers, documentation, and periodical returns to IFSCA and exchanges. Collaborate with the business/operations teams to implement controls for new products, processes, and digital infrastructure. Track regulatory amendments and advise management on impacts. Develop compliance training, awareness materials, and conduct internal sessions. Ensure timely closure of compliance observations, gaps, and non-compliances with corrective actions. --- Eligibility Criteria (As per CMI Regulation) Education – any one of the following: Post-graduate degree / PG diploma (min 1 year) in : Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Markets, Banking, Insurance, Actuarial Science, OR   Fin Tech, STEM disciplines (Science, Technology, Engineering, Mathematics) as per proposed amendments.   OR Graduation in any field with minimum 5 years of experience in the financial services market.   Experience Requirements:   Minimum 3 years of experience in financial services ;   Prior exposure to broker-dealer compliance, AML, FATCA/CRS, DP/CM frameworks, or GIFT IFSC regulations will be preferred.    ---   Key Skills   Strong understanding of capital market intermediary regulations, AML/CFT norms, and risk governance. Ability to interpret regulations and implement practical controls. High agility in working with evolving frameworks and new-market constructs. Excellent communication, documentation, and stakeholder-management skills. Hands-on approach with strong execution capability.   ---   What We Offer   Opportunity to be part of the early-stage IFSC market ecosystem and shape future-ready compliance frameworks. Direct exposure to IFSCA regulatory evolution, and multi-registration structures. High-ownership role with leadership visibility. Competitive compensation aligned to IFSC standards.    ---

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