Regulatory Compliance Specialist

7 days ago


Mumbai, Maharashtra, India Interactive Brokers Full time
Job Description

As a Regulatory Compliance Specialist at Interactive Brokers, you will play a crucial role in ensuring the company's activities align with all pertinent legal and regulatory requirements. You will be responsible for interacting with various departments to meet deadlines, reviewing and verifying transactions to prevent money laundering, and implementing systems and procedures to enhance compliance.

Key Responsibilities:
  • Reviewing and verifying transactions to prevent money laundering
  • Implementing systems and procedures to enhance compliance
  • Updating and reviewing KYC and account approval guidelines
  • Handling investor grievances
  • Conducting periodic audits of the firm's practices

Requirements:
  • 2 years of experience working in the compliance department of a large or medium-sized broking house
  • Graduate degree required
  • Good knowledge of NSE and SEBI compliances
  • Good understanding of compliance-related reports
  • Good communication and problem-solving skills
  • High proficiency with desktop applications and MS Office suite of products


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