Compliance Analyst

Job Description And Responsibilities

The ideal candidate has some regulatory compliance experience working for an exchange, a regulatory organization, a Broker-Dealer (BD) or a similar organization

Other acceptable experience would include internal audit, legal, accounting, or other control functions of a financial services firm or regulator

Responsible for interacting with various departments within the organization to meet deadlines

Must be comfortable working in an automated, hands-on environment

Ensuring compliance with regulatory norms of SEBI, Exchanges and Depositories

Reviewing and verifying transactions/trades to prevent money laundering

Implementing systems/ procedures for timely adherence and streamlining the working procedures to enhance Compliance

Update and review KYC and account approval guidelines for the company

Handling investor grievances

Conduct/assist in periodic audits of the firm's practices to ensure that the organization's activities satisfy all pertinent legal and regulatory requirements

Compliance with Prevention of Anti Money Laundering norms

Ensure daily/monthly/quarterly submissions in accordance with regulatory guidelines and processes

Qualifications

2+ Years of experience working in the compliance department of a large/medium-sized broking house

Graduate degree is required

Good knowledge about NSE/SEBI Compliances

Good understanding of compliance-related reports

Good communication, oral and written skills

Good problem-solving skills

High proficiency with desktop applications and MS Office suite of products is required

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

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