Back to jobs

Compliance Analyst (Domestic Compliance)

Mumbai, India

 

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.

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf


Education

Select...
Select...

Privacy Disclosure *

Interactive Brokers (“IBKR”) is committed to protecting the privacy of its users. 1. Aggregate Information about Visitors. We collect information on a general and aggregate basis, such as IP addresses, in order to analyse the performance of our sites. This data is used completely anonymously in order to determine the number of people who visit our sites and the most frequently used sections of our sites. This enables us to continually update and refine our sites to ensure it provides you with a successful experience. 2. Information about Users. When registering you are requested to enter certain information about yourself. This information forms the basis for any job application. 3. Your Online CV and Job Application. The details of your job application, covering letter, CV and academic results and any other information will not be viewed by anyone except IBKR and any third party service providers used by IBKR for its hiring processes. 4. Information Management. You can edit any information entered at any time before your job application is submitted. This includes contact details, email address, job application information and password. However, once a job application has been sent, that specific job application cannot be altered. You have certain rights to see and correct data held about you. Please refer to the IBKR Group Privacy Policy on our website. 5. Security. The security of our system is very important to us and we work hard on it. However, please note that no data transmission over the Internet is 100% secure.

Select...
Select...
Select...
Select...
Select...
Select...

For fresh graduates please mention 'NA'. 

Select...