DriveWealth
DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There’s never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing!
The Compliance Officer (CO) will manage end-to-end compliance framework for the Company’s capital market operations in GIFT City (IFSC). This role ensures full compliance with IFSCA regulations, AML/PMLA/KYC norms, stock exchange requirements, and all audit and regulatory reporting obligations. The CO is expected to have close coordination with regulators, internal stakeholders, and external partners in a fast-changing regulatory environment. What You’ll Do Lead and manage the comprehensive compliance framework for the Company in GIFT City. Ensure ongoing and complete adherence to IFSCA regulations, applicable KYC-AML and CFT guidelines, and exchange-level compliance requirements. Oversee compliance responsibilities associated with the Company’s activity as a broker dealer. Draft, review, update, and maintain compliance manuals, policies, procedures, and regulatory documentation in line with current regulatory requirements. Manage regulatory surveillance, conduct internal compliance reviews, and perform control assessments to identify and address compliance risks. Ensure timely, accurate, and comprehensive regulatory filings, submissions, disclosures, and reports to IFSCA, stock exchanges, and other authorities. Serve as the primary point of contact for IFSCA and other regulators, managing inspections, audits, queries, and all regulatory correspondence. Proactively identify compliance gaps, evaluate regulatory impacts, and implement corrective and preventive actions. Monitor regulatory developments within the IFSC and relevant jurisdictions and translate changes into actionable internal policies and controls. Collaborate closely with business, operations, technology, and product teams to embed compliance obligations into daily processes and systems. Foster and maintain a strong culture of governance, compliance, and risk management throughout the organization. You Bring Education and Professional Qualification : Professionally qualified individual and a member of ICAI / ICSI / ICMAI, or holder of a post-graduate qualification or diploma (minimum one year) in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science fintech, science, technology, engineering, mathematics from a recognized university or institution (central/state government recognized or foreign recognized institution); or qualifications such as CFA, FRM or any other certification approved by the IFSCA and Experience : with minimum 2 years of experience in the financial services market; or Education and Professional Qualification : Graduation degree from a recognized university in any field from a university or an institution recognised by the Central Government or any State Government or a foreign university and Experience : with minimum 5 years of relevant financial services market experience. Extensive and demonstrable knowledge of IFSCA Regulations. Prior experience engaging with regulators through inspections, audits, or supervisory interactions. Strong expertise in AML-CFT and KYC and exchange compliance frameworks. High standards of integrity, independence, and sound professional judgment. Excellent skills in documentation, drafting, and interpreting regulatory requirements. Ability to operate effectively in a fast-paced, evolving regulatory environment. Strong stakeholder management abilities with a collaborative approach across functions Location This role is open to candidates in the following locations: GIFT City, India If you're not based in the location listed above, this role is not a fit, and we cannot accommodate remote work outside these locations. Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York, Chicago, and Lithuania teams work in office on a hybrid schedule. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer Medical insurance, Dental insurance, Vision insurance, Disability insurance, and Paid Parental Leave, along with a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous Paid Time Off (PTO) and observed holidays. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual’s ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes.