Compliance Professional

2 days ago

Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,00,00,000

Compliance and Risk Management Executive

At GIFT City, we seek a seasoned professional to oversee compliance, regulatory affairs, and risk management across our Broking, Global Access Market, Distribution, and Insurance businesses.

  • Evaluate and ensure strict adherence to IFSCA, SEZ, and exchange regulations.
  • Develop, implement, and maintain compliance frameworks, SOPs, and internal policies.
  • Stay updated on regulatory changes and advise the management team on implications and required actions.
  • Prepare and submit timely regulatory reports and returns with IFSCA, SEZ, Exchanges, and other authorities.
  • Conduct regular compliance risk assessments, gap analysis, and internal audits.
  • Oversee Anti-Money Laundering (AML)/Countering Financing of Terrorism (CFT) processes, Know Your Customer (KYC) compliance, and client onboarding checks.
  • Implement and monitor risk management practices in broking, distribution, and global access markets.
  • Ensure operational activities align with compliance and regulatory requirements.
  • Investigate compliance breaches, incidents, or irregularities and recommend corrective actions.
  • Act as the compliance advisor for business teams, ensuring regulatory alignment in new products, services, and partnerships.
  • Support business growth initiatives while maintaining robust compliance structures.
  • Liaise with regulators, auditors, and external stakeholders on compliance matters.
  • Train and educate staff on compliance policies, regulatory guidelines, and ethical practices.
  • Draft and maintain policies, SOPs, compliance manuals, and governance notes.
  • Maintain detailed compliance records, approvals, and audit trails.
  • Prepare periodic compliance MIS reports and dashboards for senior management and regulators.

This role demands strong regulatory expertise, leadership skills, and the ability to collaborate with multiple stakeholders to ensure governance, compliance, and business growth. The ideal candidate will have in-depth knowledge of IFSCA regulations, SEZ requirements, AML/CFT frameworks, and hands-on experience in managing compliance in capital markets or financial services.

Required Skills & Qualifications:

  • Postgraduate or professional degree in Finance, Law, Business Administration, or related fields.
  • Professional certifications in compliance, governance, or risk management will be an added advantage.
  • 5 - 9 years of experience in Capital Markets, Broking, Financial Services, or Distribution businesses.
  • Proven track record in handling compliance and regulatory affairs in SEZ/GIFT City/IFSCA frameworks.
  • Strong understanding of IFSCA regulations, AML/CFT guidelines, and SEZ compliance.
  • Familiarity with broking operations, distribution models, and global access market workflows.
  • Hands-on experience with compliance monitoring tools and regulatory reporting platforms.
  • Strong leadership, decision-making, and team management skills.
  • Excellent verbal and written communication skills.
  • High integrity, attention to detail, and problem-solving ability.
  • Ability to balance regulatory requirements with business needs.

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