Compliance Officer

Job Title: Compliance Officer - BROKING

Level: Manager/Sr. Manager

Location: GIFT City, Gandhinagar

Key Responsibilities:

Regulatory & Compliance Oversight

• Ensure compliance with International Financial Services Centres Authority (Capital market) / SEBI (Stockbrokers) Regulations, , and relevant exchange circulars (NSE/BSE).
• Monitor adherence to client on-boarding, KYC, CKYC, AML, and FATCA requirements.

Sales & Distribution Compliance

• Review and monitor sales practices, distributor conduct, and incentive structures to ensure regulatory alignment.
• Conduct pre-trade and post-trade compliance checks where required.
• Ensure suitability, appropriateness, and risk profiling norms are followed for clients.
• Review marketing materials, pitch books, product notes, a...