Stockal - Compliance Officer - LLB

We are a platform that allows retail investors in India, the Middle East, and Southeast Asia to easily invest in mature markets like the US. With Stockal, you can open and manage overseas investment accounts digitally and affordably. Our data-driven platform empowers you to make smarter investment decisions with big data insights and automated research. Track your portfolio's health, discover new stocks, and stay ahead of global investment trends-without the guesswork. Backed by trusted investors like Sequoia Capital, Tiger Global, and SBI Holdings, Stockal offers a secure, reliable platform to help you grow your wealth globally. Ready to invest smarter? Stockal makes it easy.

Job Description

• As a Compliance Officer at Stockal, you will be responsible for ensuring the company's operations, products, and services adhere to all regulatory and legal requirements specific but not limited to the financial technology sector.
• You will work closely with internal teams to provide guidance on compliance-related matters and implement policies and procedures to minimize risk and ensure business practices align with industry standards and regulations.
• The Compliance officer should be based out of Gift City, Gandhinagar Gujarat.
  
  

Key Responsibilities

• Regulatory Compliance Management: Ensure the company complies with all applicable financial regulations, including RBI guidelines, SEBI, PMLA, GDPR, and other local and international regulatory bodies impacting the FinTech industry in India.
• Policy Development & Implementation: Design, review, and implement compliance policies and procedures that align with the evolving regulatory environment in the FinTech industry.
  
  

Risk Assessment & Mitigation: Conduct regular risk assessments and audits to identify any gaps in the company's operations and compliance posture.

• Develop strategies to mitigate potential risks.
• Monitoring & Reporting: Establish and maintain an effective monitoring and reporting framework to track compliance with relevant regulations and internal policies.
• Prepare periodic compliance reports for senior management and external auditors.
• Anti-Money Laundering (AML) & KYC Compliance: Oversee the company's AML and KYC procedures.
• Ensure compliance with customer due diligence (CDD), ongoing monitoring, and reporting suspicious activities to authorities.
• Training & Awareness: Organize training programs for employees on regulatory changes, compliance policies, and best practices to ensure the team is up-to-date on legal and regulatory developments.
• Regulatory Liaison: Act as the primary point of contact for regulators and external auditors, and manage audits and inspections.
• Product Compliance: Review new products, services, or features to ensure compliance with applicable laws, including but not limited to consumer protection laws, data privacy laws, and financial services regulations.
• Documentation & Record Keeping: Maintain proper records of compliance activities, training, audits, and reports, ensuring easy retrieval and adherence to document retention policies.
  
  

Key Requirements:.

Educational Qualifications

• Bachelor's degree in Law, Finance, Business Administration, or related field.
• A master's degree or professional certifications such as CCO, CAMS, or LLB is a plus.
  
  

Experience

• Minimum of 2-5 years of experience in compliance, preferably in a financial services or FinTech company.
• Strong knowledge of Indian financial regulations, including RBI, SEBI, PMLA, and fintech-specific regulations.
• Experience in risk management, compliance audits, and liaising with regulatory authorities.
  
  

Skills

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills to effectively interact with senior leadership, external regulators, and internal teams.
• Ability to stay updated on industry trends, regulatory changes, and legal developments.
• Proficiency in compliance software and tools is an advantage.
• Why join us? Join Our Team and Make a Global Impact.
  
  

At Stockal, you'll play a pivotal role in helping individuals across Asia, the Middle East, and India unlock unparalleled global investing opportunities.

Here's What Makes Us Unique

A Global Impact: Contribute to empowering people worldwide with access to global investment opportunities, transforming the way they invest.

A Collaborative and Supportive Team: Work alongside driven, passionate colleagues who are dedicated to your success and professional growth, fostering an environment where collaboration thrives.

Exciting Growth: Be part of an innovative platform that is reshaping the future of global investing.

Every day brings new challenges and opportunities to drive change.

A Dynamic and Fun Environment: Embrace the fast-paced, exciting culture of a startup that is pushing boundaries in the fintech space.

We believe in working hard, playing hard, and maintaining a fun atmosphere where creativity and innovation flourish.

Industry-Leading Compensation: We offer an industry-best compensation package that reflects the value we place on your skills and contributions.

Your hard work and dedication will be rewarded generously.

Ready to be part of something transformative? If you're proactive and passionate about problem-solving, we'd love to hear from you.

Help us make global investing more accessible, exciting, and easy for everyone!

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