About the role
TradeAir (IFSC) is an IFSCA-registered broker-dealer and fund management entity in GIFT City, a trading member of NSE IX and India INX and a clearing member of NSE IFSC Clearing. We are hiring a Compliance Officer for the broker-dealer. You will own its regulatory compliance, from exchange and IFSCA filings to client onboarding checks and audits, and you will be designated as our Compliance Officer with IFSCA and the exchanges.
What you will do
Act as the broker-dealer's Compliance Officer with IFSCA, NSE IX, India INX and the clearing corporations.
Own the compliance calendar: exchange and IFSCA returns, net worth certificates, the annual compliance audit and SEZ reporting, filed on time.
Review client onboarding: KYC, AML and sanctions screening, UCC uploads and periodic re-KYC.
Monitor trading and surveillance alerts, and report suspicious transactions where required.
Coordinate internal, system and cyber audits and exchange inspections, and close the points they raise.
Track IFSCA and exchange circulars, assess what each means for us, and update policies and SOPs.
Check the daily margin, obligation and CTCL reporting prepared by the operations team.
Report compliance status and breaches to the Principal Officer and the Board.
Must have
A professional qualification (CA, CS or CMA), a postgraduate degree or diploma in finance, law, commerce, economics, management, capital markets or banking, or CFA or FRM. Graduates with substantial financial services experience may also be considered.
At least 2 years in financial services, ideally in compliance or operations at a broker or exchange member.
Working knowledge of KYC, AML and exchange reporting.
Clear written English for regulator and exchange correspondence.
Able to work on-site in GIFT City, Gandhinagar.
Good to have
Experience at a GIFT City (IFSC) intermediary or an NSE IX / India INX member.
NISM Series III-A (Securities Intermediaries Compliance) certification.
Experience with compliance audits, exchange inspections or surveillance.
Familiarity with FATCA/CRS and FIU-IND reporting.