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Job Description: Compliance Officer – Broker Dealer (GIFT City) Location:GIFT City Function:Compliance & Regulatory Affairs Experience:3 – 6 years Role Overview The Compliance Officer will be responsible for owning the end-to-end compliance framework for the Company’s Broker-Dealer operations in GIFT City (IFSC). The role ensures full adherence to IFSCA regulations, AML/PMLA/KYC norms, exchange requirements, and all audit and regulatory reporting obligations. The position will also oversee compliance relating to the Company’s GAP licence and its role as an Introducing Broker to global brokerage partners. This is a senior, hands-on role requiring close engagement with regulators, internal stakeholders, and external partners in a rapidly evolving regulatory environment.Key Roles and Responsibilities Own and manage the complete compliance framework for the broker-dealer entity operating in GIFT City. Ensure ongoing and full compliance with IFSCA regulations, applicable SEBI brokerage norms, AML/PMLA/KYC requirements, and exchange-level obligations. Oversee compliance obligations related to the GAP license and the Company’s activities as an Introducing Broker to global brokerage partners. Draft, review, update, and maintain all compliance manuals, policies, procedures, and regulatory documentation in line with current regulations. Manage regulatory surveillance, internal compliance reviews, and control assessments to identify and mitigate compliance risks. Ensure timely, accurate, and complete regulatory filings, submissions, disclosures, and reports to IFSCA, exchanges, and other relevant authorities. Act as the primary point of contact with IFSCA and other regulators, including handling inspections, audits, queries, and regulatory correspondence. Proactively identify compliance gaps, assess regulatory impact, and implement corrective and preventive measures. Monitor regulatory developments within IFSC and related jurisdictions and translate new or amended regulations into actionable internal policies and controls. Work closely with business, operations, technology, and product teams to embed compliance requirements into day-to-day processes and systems. Promote and uphold a strong governance, compliance, and risk culture across the organization.Key Requirements Deep and demonstrable knowledge of IFSC and SEBI brokerage regulations. Prior experience in regulatory inspections, audits, or supervisory interactions with regulators. Strong understanding of AML, PMLA, KYC, and exchange compliance frameworks. High standards of integrity, independence, and professional judgment. Excellent documentation, drafting, and regulatory interpretation skills. Ability to operate effectively in a dynamic and rapidly evolving regulatory environment. Strong stakeholder management skills with the ability to collaborate across functions.