Manager - Compliance

Job highlights

• Experience: 5-8 years of core experience in Stock Broking Compliance (Fintech / Digital Broking experience is a massive plus)

About the Role:

You will be responsible for the end-to-end compliance lifecycle, from product development and marketing approvals to real-time surveillance and regulatory reporting. This is a hands-on role requiring a mix of regulatory expertise, analytical rigour, and a product-first mindset.

What You Will Do:

• Advertisement Marketing Approval: Review and provide compliance sign-off on all marketing collateral, social media content, and app notifications.
• Liaise with Stock Exchanges (NSE/BSE/MCX) for prior approval of advertisements and ensuring adherence to the latest SEBI Code of Advertisement.
• Regulatory Intelligence (Circular Management): Daily tracking of SEBI and Exchange circulars. Interpret and disseminate impact analysis to relevant departments (Product, Tech, Ops). Drive the implementation of new guidelines within the specified timelines.
• Surveillance AML: Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse. Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow.
• Audits Inspections: Manage and coordinate Internal Audits, System Audits, and Concurrent Audits. Act as the primary point of contact for SEBI/Exchange Inspections, ensuring data accuracy and timely submission of responses.
• Reporting Filings: Ensure 100% adherence to the Compliance Calendar (Daily, Monthly, Quarterly, and Annual filings). Monitor the investor grievance redressal system (SCORES/internal) and drive prompt resolution.
• Product Compliance: Perform Pre-Prod Audits on new features (e.g., FO, MTF, SIP) to ensure they meet the Compliant-by-Design standard. Provide sign-off on control testing reports before any feature goes live.

What You Should Have:

Experience: 5-8 years of core experience in Stock Broking Compliance (Fintech/Digital Broking experience is a massive plus).

Domain Expertise: Subject Matter Expert in SEBI (Stock Broker) Regulations, 2026, PMLA guidelines, and Exchange Bylaws.

Analytical Skills: Ability to analyze complex trading data and see procedural risks before they become issues.

Communication: Ability to communicate technical regulatory requirements to non-compliance teams (Tech/Design) clearly and precisely.

Execution: Proven ability to plan and execute compliance projects/audits single-handedly.

Qualifications Mandatory:

MBA, Professional degree in Finance, Commerce, or a related field ( CA, CS ) etc

Plus: NISM Certificates

Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.