Bonanza Portfolio - Compliance Officer - IFSCA Certified

• Compliance Officer for Broking, Global Access Market, Distribution & Insurance in GIFT City, Gandhinagar.. This is a full-time, on-site role.. Key Responsibilities:. Ensure compliance with IFSCA regulations & AML/CFT processes. Lead client operations & risk management. Drive business growth & expand distribution networks. Regulatory Compliances & Reporting with SEZ, IFSCA, Exchanges etc.. Preparation of Policies, SOPs, noted etc.. Qualifications:. Post-graduate/professional degree in finance, law, or related fields. 5+ years experience in capital markets or financial services. Strong regulatory & leadership expertise. Show more Show less
• We are seeking an experienced and detail-oriented Compliance Officer to oversee compliance, regulatory affairs, and risk management for our Broking, Global Access Market, Distribution, and Insurance businesses in GIFT City. The ideal candidate will have in-depth knowledge of IFSCA regulations, SEZ requirements, AML/CFT frameworks, and hands-on experience in managing compliance in capital markets or financial services.
• This role requires strong regulatory expertise, leadership skills, and the ability to collaborate with multiple stakeholders to ensure governance, compliance, and business growth.

Key Responsibilities:

• Ensure strict compliance with IFSCA, SEZ, and exchange regulations.
• Develop, implement, and maintain compliance frameworks, SOPs, and internal policies.
• Monitor regulatory updates and guide the management team on implications and required actions.
• Prepare and file timely regulatory reports and returns with IFSCA, SEZ, Exchanges, and other authorities.
• Conduct regular compliance risk assessments, gap analysis, and internal audits.
• Oversee AML/CFT processes, KYC compliance, and client onboarding checks.
• Implement and monitor risk management practices in broking, distribution, and global access markets.
• Ensure operational activities align with compliance and regulatory requirements.
• Investigate compliance breaches, incidents, or irregularities and recommend corrective actions.
• Act as the compliance advisor for business teams, ensuring regulatory alignment in new products, services, and partnerships.
• Support business growth initiatives while maintaining robust compliance structures.
• Liaise with regulators, auditors, and external stakeholders on compliance matters.
• Train and educate staff on compliance policies, regulatory guidelines, and ethical practices.
• Draft and maintain policies, SOPs, compliance manuals, and governance notes.
• Maintain detailed compliance records, approvals, and audit trails.
• Prepare periodic compliance MIS reports and dashboards for senior management and regulators.

Required Qualifications & Skills:

• Postgraduate or professional degree in Finance, Law, Business Administration, or related fields.
• Professional certifications in compliance, governance, or risk management will be an added advantage.
• 5 - 9 years of experience in Capital Markets, Broking, Financial Services, or Distribution businesses.
• Proven track record in handling compliance and regulatory affairs in SEZ/GIFT City/IFSCA frameworks.
• Strong understanding of IFSCA regulations, AML/CFT guidelines, and SEZ compliance.
• Familiarity with broking operations, distribution models, and global access market workflows.
• Hands-on experience with compliance monitoring tools and regulatory reporting platforms.
• Strong leadership, decision-making, and team management skills.
• Excellent verbal and written communication skills.
• High integrity, attention to detail, and problem-solving ability.
• Ability to balance regulatory requirements with business needs.
• Opportunity to work at the forefront of India's International Financial Services hub (GIFT City).
• Be part of a growing financial institution with exposure to global markets, broking, distribution, and insurance.
• Leadership-driven role with direct impact on compliance governance and business growth.
• Collaborative, fast-paced, and innovation-friendly work culture.