Compliance Officer

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

About the Role

We are seeking a highly motivated and experienced Compliance Officer to join our GIFT IFSC entity. The ideal candidate will play a pivotal role in ensuring our operations adhere to all applicable laws, regulations, and internal policies of the International Financial Services Centers Authority (IFSCA), SEBI, and other relevant regulatory bodies. This position requires a proactive approach to identifying and mitigating compliance risks, while fostering a culture of integrity and regulatory adherence across the organization.

Key Responsibilities

• Regulatory Compliance: Ensure strict adherence to IFSCA regulations, SEBI guidelines, and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.

• Policy Development & Implementation: Develop, maintain, and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.

• Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.

• Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.

• Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.

• Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified. Serve as the primary point of contact for regulatory inquiries and submissions.

• Data Management: Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications. Ensure data integrity and confidentiality.

Qualifications

• Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.

• Experience: Minimum of 5 years of experience in compliance, risk management, or a related field, preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.

• Skills:

• Strong understanding of financial regulations and compliance requirements.

• Excellent analytical and problem-solving skills.

• Strong attention to detail and ability to manage multiple tasks simultaneously.

• Excellent communication and interpersonal skills.

• Proficiency in MS Office and compliance management software.

Why Join Us?

At Interactive Brokers, we are committed to providing a secure, efficient, and compliant trading environment for our clients. As a Compliance Officer, you will play a crucial role in maintaining our high standards of integrity and regulatory compliance. You will work in a dynamic, fast-paced environment with a team of professionals dedicated to excellence.

Company Benefits & Perks:

• Competitive salary package.

• Performance based annual bonus (cash and stocks).

• Hybrid working model (3 days office/week).

• Group Medical & Life Insurance.

• Modern offices with free amenities & fully stocked cafeterias.

• Monthly food card & company paid snacks.

• Hardship/shift allowance with company provided pickup & drop facility*

• Attractive employee referral bonus.

• Frequent company sponsored team building events and outings.

* Depending upon the shifts.

**The benefits package is subject to change at the management's discretion.