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.
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.
What We Do
Rated #1 Best Online Broker in 2022 for 5 consecutive years by Barron's.
Interactive Brokers Group (Nasdaq: IBKR) and its predecessor companies have been building trading technology for over 44 years. Interactive Brokers Group’s consolidated equity capital exceeds $10 billion.
Throughout its history, the company’s mission has remained unchanged: Create technology to provide liquidity on better terms. Compete on price, speed, size, diversity of global products and advanced trading tools.
Interactive Brokers LLC is a member of NYSE, FINRA, SIPC. For more information, visit: ibkr.com
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