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Principal Officer

Angel One · Posted Oct 22

Stock broking, wealth management, margin trading, and digital investment services

Gandhinagar, Gujarat, IndiaFull-timeOnsiteLead/Staff10+ years₹50.0L–₹90.0L yearly<25 applicants
Financial ServicesFintechStock BrokingWealth ManagementInvestmentsPublic Company
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About the role

Angel One is a fintech platform serving over 3.7 crore customers across investing, trading, wealth creation, and credit. The GIFT IFSC entity is a fintech-led broker-dealer business focused primarily on providing access to US-listed equities and ETFs. The Principal Officer will lead and oversee the entity's operations, regulatory compliance with IFSCA, governance, risk controls, and coordination with regulators and overseas intermediaries.

What you will do

  • Oversee the overall operations of the GIFT IFSC entity and ensure adherence to applicable IFSCA regulations, guidelines, circulars, and directions.
  • Establish and maintain robust operating procedures, governance frameworks, and internal controls.
  • Ensure timely completion of applicable regulatory filings, reporting, disclosures, and operational requirements.
  • Coordinate with senior management, compliance, risk, finance, technology, and operations teams to ensure effective business functioning.
  • Oversee operational processes supporting access to US-listed equities and ETFs.
  • Monitor trade execution arrangements, trade confirmations, clearing and settlement, custody, reconciliation, and corporate actions, as applicable to the business model.
  • Manage coordination with overseas brokers, custodians, banking partners, and other intermediaries.
  • Ensure appropriate controls around client accounts, transaction processing, operational exceptions, and service delivery.
  • Identify and manage operational, regulatory, counterparty, settlement, and business risks.
  • Monitor adherence to internal policies, approved procedures, escalation protocols, and risk controls.
  • Drive resolution of operational issues, control gaps, audit observations, and regulatory findings.
  • Support business continuity planning and periodic reviews of operational effectiveness.
  • Work closely with the designated Compliance Officer to ensure compliance with applicable regulatory and legal requirements.
  • Oversee operational support for client onboarding, KYC, AML/CFT, sanctions screening, transaction monitoring, and customer due diligence.
  • Ensure effective grievance management, incident escalation, record maintenance, and appropriate reporting.
  • Promote a strong compliance culture across the organisation.
  • Serve as a key point of coordination with IFSCA and other relevant stakeholders in relation to the Principal Officer's responsibilities.
  • Coordinate regulatory inspections, audits, information requests, and remediation activities.
  • Track regulatory developments affecting the GIFT IFSC entity and ensure appropriate implementation.
  • Provide periodic updates to senior management on business operations, regulatory matters, risks, and control effectiveness.

Skills used in this role

IFSCA RegulationsUS EquitiesETFsKYCAML/CFTSanctions ScreeningTransaction MonitoringCustomer Due DiligenceTrade ConfirmationsClearing and SettlementCustodyReconciliationCorporate ActionsRegulatory ReportingRisk ControlsInternal ControlsAuditComplianceGovernanceSecurities MarketsCapital MarketsBrokerage OperationsCross-Border TradingCommunicationProblem Solving

What the employer is looking for

  • Relevant professional or postgraduate qualification in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science, fintech, science, technology, engineering, or mathematics, or another qualification permitted under applicable IFSCA regulations.
  • Experience in financial services, capital markets, securities brokerage, or a regulated financial-services business, meeting the applicable IFSCA eligibility requirements.
  • Strong understanding of regulatory frameworks, operational governance, risk controls, and securities-market processes.
  • Exposure to US equities, ETFs, international brokerage, global market access, or cross-border securities operations is highly desirable.
  • Experience managing external stakeholders, audits, regulatory reporting, and operational teams.
  • Strong ownership, decision-making, communication, and problem-solving skills.
  • Willingness to work from GIFT City, Gandhinagar.

Preferred qualifications

  • Principal Officer or senior operations professional from a GIFT IFSC-registered broker-dealer or global-access business.
  • Professionals from international brokerages, securities-market intermediaries, or fintech platforms offering global investment access.
  • Candidates with hands-on experience in regulatory oversight, international trading operations, and coordination with overseas market intermediaries.

Benefits and support

  • Compensation and benefits are detailed in the job posting

About Angel One

Angel One logo

Angel One

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Angel One Limited is a prominent Indian fintech and full-service retail stock broking house providing broking services, margin trading, depository services, and wealth management. The company leverages advanced technology, AI, and data science to offer a unified digital investment platform to millions of clients across India. Formerly known as Angel Broking, it has evolved into a major digital-first financial services powerhouse.

Industry
Financial Services
Company size
3800+ employees
Founded
1996
Location
Mumbai, Maharashtra, India
Funding stage
Public Company

Funding

Public Company · $38.4M raised

International Finance Corporation (IFC)
  • 2024-04-05Post IPO$38.4M

Leadership

DT
Dinesh Thakkar

Chairman and Managing Director

AK
Ambarish Kenghe

Group Chief Executive Officer

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