About the role

Compliance Officer

Company:

Appreciate Broking Pvt. Ltd.

Location:

IFSC (International Financial Services Centre)

Department:

Compliance & Risk

Reports to:

CEO

Role Overview

The Compliance Officer will be responsible for ensuring that Appreciate Broking Pvt. Ltd. operates in full compliance with all applicable regulatory, legal, and ethical standards. The role involves monitoring regulatory developments, implementing compliance frameworks, conducting audits, and acting as a key liaison with regulatory authorities.

Key Responsibilities

Regulatory Compliance & Policy Development
- Identify activities and practices that may pose compliance risks or violate applicable regulations and industry standards.
- Develop , implement, and periodically review internal compliance policies and procedures in line with regulatory requirements.
Monitoring, Audits & Reporting
- Conduct regular compliance audits and assessments to ensure adherence to legal and ethical standards.
- Identify and report any non-compliance, violations, or gaps to senior management and relevant regulatory authorities.
Regulatory Updates & Training
- Stay updated with the latest regulatory changes across relevant jurisdictions and entities.
- Ensure timely implementation of regulatory updates within the organization.
- Conduct training sessions and awareness programs for employees on compliance policies and best practices.
Data Coordination & Audit Support
- Collect, analyze , and coordinate compliance-related data across internal departments.
- Collaborate with auditors and provide necessary documentation and insights for audits and regulatory inspections.
- Prepare and present compliance reports to management.
Risk Identification & Mitigation
- Identify discrepancies, process gaps, and potential risks related to compliance.
- Establish controls to prevent errors, fraud, and financial or reputational risks to the organization.
Operational Compliance Oversight
- Ensure adherence to all applicable regulations, including infrastructure and operational requirements as mandated by regulatory bodies.
- Oversee the proper display and maintenance of required physical infrastructure as per extant regulations.
Regulatory Interface & Inspection Readiness
- Act as the primary point of contact for regulatory authorities.
- Ensure availability for inspections, audits, and regulatory reviews as required from time to time.
- Facilitate smooth coordination during regulatory visits and inspections.

Eligibility & Skills (Recommended Section)

Bachelor’s degree in Law, Finance, Business Administration, or related field (Master’s preferred)
Relevant experience in compliance, preferably in broking/financial services
Strong knowledge of regulatory frameworks (SEBI, IFSC, etc.)
Excellent analytical, documentation, and communication skills
High attention to detail and ethical standards

Key Competencies

Regulatory knowledge & vigilance
Risk assessment and mitigation
Stakeholder management
Strong integrity and confidentiality
Problem-solving and analytical thinking

Compliance Officer - Broking