Compliance Officer -Capital Market / Equity

Job Title: Compliance Manager

Location: GIFT City, Gandhinagar
Industry: Financial Services / Broking / Investment / FinTech
Experience: 5–10 years
Qualification: CS / LLB / MBA (Finance) / Relevant compliance certifications

Key Responsibilities

• Oversee compliance with IFSCA regulations, SEBI rules, and all applicable laws governing financial/market activities in GIFT City.
• Draft, update, and implement compliance policies, SOPs, and internal control frameworks.
• Conduct periodical compliance checks, internal audits, and regulatory reporting.
• Liaise with regulators, auditors, exchanges, and legal teams for timely submissions and clarifications.
• Monitor changes in laws/regulations and ensure prompt policy updates.
• Review and approve new products, processes, and client onboarding from a compliance standpoint.
• Ensure timely filing of statutory returns, reporting, and documentation.
• Train employees on regulatory requirements, risk controls, and compliance best practices.
• Investigate compliance breaches, prepare action reports, and implement corrective measures.
• Maintain complete documentation of compliance records and inspection reports.

Required Skills

• 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.

Preferred Background

• Prior experience working in GIFT City entities or handling IFSCA compliance.
• Exposure to capital markets, equity broking, investment advisory, or financial operations.
• Experience in handling regulatory inspections or compliance audits.

Job Type: Full-time

Pay: ₹40,000.00 - ₹80,000.00 per month

Application Question(s):

• Are you able to commute to Sindhubhavan behind Taj Hotel for this job?
• Do you have experience in compliance of Capital or Equity Market?
• Current Salary
• Expected Salary
• Notice Period

Location:

• Ahmedabad, Gujarat (Preferred)

Work Location: In person