Compliance Officer

GTN is a fintech pioneer with decades of success, holding broker-dealer and capital markets services licenses in multiple jurisdictions through its subsidiaries. We are committed to empowering brokers, banks, asset managers, and fintech with scalable and innovative investment and trading solutions that enable access to a comprehensive network of global markets and multiple asset classes, making investment and trading accessible for all. GTN's investment and trading solutions offer seamless integration with the existing services of regulated financial firms and fintech via our co-branded front-ends or versatile API suite. The GTN API suite, inspired by embedded finance, provides the adaptability to develop bespoke trading/investment applications or incorporate GTN features into existing platforms, enhancing their value proposition. In addition, our comprehensive global trading ecosystem includes best-in-class execution, custody, and post-trade solutions.

Headquartered in Dubai, GTN brings together a diverse team of over 600+ talented individuals spread across Dubai, Singapore, South Africa, Sri Lanka, the UK, and the US, united by a shared passion and purpose: empowering clients and transforming the accessibility to investment and trading opportunities to all. Our Sri Lanka office is our tech hub and is at the core of what we do: Here we research, develop, text and launch scalable features for our B2B and B2B2C trading and investment technology. We are backed by strategic investors like the IFC, a member of the World Bank Group, and SBI Ventures Singapore Pte. Ltd., a group company of SBI Holdings, Inc., one of the largest financial services firms listed on the Tokyo Stock Exchange. To learn more, visit www.gtngroup.com or connect on LinkedIn

Role Purpose

The Compliance Officer will be responsible for establishing, maintaining, and overseeing the regulatory compliance framework of the entity in relation to its activities as an IFSCA-regulated Broker Dealer and, where applicable, as a Global Access Provider (GAP) facilitating access to global markets from IFSC. This position is based in GIFT City, Gandhinagar (Ahmedabad), Gujarat, and the successful candidate is expected to work from this location on a full-time basis. Candidates applying from other locations must be willing to relocate.

Key Responsibilities

1) Regulatory Compliance Oversight

• Oversee compliance with the IFSCA (Capital Market Intermediaries) Regulations, 2025, as amended from time to time, and all applicable circulars, directions, guidelines, master circulars, and exchange / clearing corporation requirements relevant to broker dealers and related capital market activities.
• Advise management on licensing conditions, regulatory restrictions, conduct obligations, and operational controls applicable to broker dealer business in the IFSC.
• Track regulatory developments issued by IFSCA and assess their impact on business, onboarding, trading, dealing, disclosure, outsourcing, reporting, technology, and governance arrangements.
• Ensure the entity maintains an effective compliance framework proportionate to the size, scale, and complexity of the business.

2) GAP / Global Access Compliance

• Oversee compliance with the Regulatory Framework for Global Access in the IFSC for the entity’s GAP / introducing / foreign broker arrangement, as applicable.
• Review and monitor arrangements with foreign brokers, introducing brokers, referral partners, and service providers to ensure regulatory compliance, allocation of responsibilities, and adequate contractual protections.
• Ensure controls exist for:
• permitted client categories,
• permitted products,
• FEMA / LRS-related restrictions for resident Indian clients,
• disclosures to clients, and
• segregation of client and proprietary funds
• Escalate to management and IFSCA, where required, material incidents relevant to foreign broker arrangements or regulatory actions affecting such arrangements.

3) AML / KYC / Client Onboarding Compliance

• Ensure robust implementation of AML, CFT and KYC controls in line with applicable IFSCA AML/KYC requirements, PMLA / PML Rules, and internal policies. For global access business, the GAP / introducing broker onboarding clients remains responsible for these obligations under the IFSCA framework.
• Review client onboarding standards, risk categorisation, screening, periodic KYC refresh, adverse media / sanctions processes, suspicious transaction escalation, and record retention controls.
• Work closely with operations / onboarding / business teams to ensure customer acceptance, suitability / appropriateness (if applicable), disclosures, and due diligence standards are met.

4) Policies, Procedures and Governance

• Draft, review, implement and periodically update compliance policies, manuals, SOPs, compliance monitoring programs, and internal guidance notes covering broker dealer and global access operations.
• Maintain and enhance policies relating to:
• compliance governance,
• code of conduct,
• conflicts of interest,
• client onboarding / KYC / AML,
• complaint handling,
• record keeping,
• outsourcing oversight,
• business continuity,
• cyber / information security coordination, and
• incident / breach escalation.
• Support Board / management reporting on compliance matters, breaches, incidents, thematic reviews, regulatory developments, and remediation progress.

5) Compliance Monitoring, Surveillance and Testing

• Develop and execute an annual compliance monitoring plan covering regulatory obligations, client onboarding, dealing controls, disclosures, complaints, reporting, books and records, and outsourced activities.
• Conduct periodic testing of controls to identify gaps, non-compliance, or process weaknesses; track remedial actions to closure.
• Maintain breach / exception registers, compliance logs, attestations, and action trackers.

6) Regulatory Reporting, Filings and Audit Coordination

• Ensure timely submission of regulatory filings, periodic reports, and information requests to IFSCA, recognised stock exchanges, clearing corporations, and other relevant authorities / stakeholders, as applicable.
• Coordinate annual compliance audits and reviews, including review of auditor observations, preparation of responses, and closure of remedial points. Annual compliance audits are a recognized element of the CMI framework.

7) Complaints and Regulatory Interaction

• Oversee client complaint handling and grievance escalation in line with applicable IFSCA requirements. The GAP framework expressly requires complaint-handling procedures for global access business.
• Act as a key point of contact for IFSCA, exchanges, auditors, and internal stakeholders on compliance matters.
• Support inspections, supervisory interactions, information requests, and thematic reviews by regulators or exchanges.

8) Training and Culture

• Design and deliver compliance training to front office, onboarding, operations, senior management, and other staff on regulatory obligations, AML/KYC, market conduct, conflicts, client disclosures, and global access-specific controls.
• Promote a strong culture of compliance, integrity, and proactive issue escalation.

Education / Qualifications

Preferred qualifications include one or more of the following:

• Qualified Accountant
• MBA / PGDM (Finance / Compliance / Risk / Banking)
• Master’s in Finance / Commerce / Economics / Law
• CFA / FRM or similar relevant professional qualification

Experience

• Minimum 3+ years of relevant experience in financial services / compliance, with hands-on compliance role experience; broader financial services market experience is also relevant.
• Preferably 5–10 years’ experience in capital markets, broking, securities, wealth / private banking, custody, offshore / cross-border investment services, or financial regulatory compliance.
• Prior experience in any of the following will be strongly preferred:
• Broker dealer / securities brokerage compliance
• IFSC / IFSCA / SEBI-regulated environment
• AML / KYC / onboarding compliance
• Global trading access / foreign broker arrangements
• Exchange compliance / surveillance / control room / market conduct compliance
• Policy drafting and regulatory engagement
• client disclosures, complaints, books and records, and
• cross-border / global market access risks and controls.
• Ability to interpret regulations and convert them into implementable policies and operating controls.
• Experience in compliance monitoring, thematic reviews, regulatory reporting, incident management, and audit / inspection handling.
• Strong written and verbal communication skills.
• High attention to detail, judgement, integrity, and escalation discipline.

Why join GTN?

As investing becomes increasingly digital, cross-border, and embedded into financial services, GTN sits at the centre of this transformation. Joining us means working with innovative partners and talented colleagues across trading, technology, and product teams in a fast-growing, international environment. 

We are proud to be an equal opportunities employer. We do not discriminate based on race, religion, colour, national origin, or gender, or any other characteristic protected under applicable law in the markets we operate. We are committed to reasonable accommodation for all applicants and employees.