Manager Compliance
You will manage the end-to-end compliance lifecycle across product development, marketing approvals, surveillance, regulatory reporting, audits, inspections, filings, investor grievances, and product compliance. You will review marketing materials, track and interpret regulatory circulars, monitor surveillance alerts, oversee AML and KYC processes, coordinate audits and inspections, manage compliance filings, and approve control testing before product features go live.
Responsibilities
- Review and approve marketing collateral social media content and app notifications
- Liaise with NSE BSE and MCX for advertisement approvals
- Track SEBI and exchange circulars daily
- Interpret circulars and disseminate impact analyses to relevant departments
- Drive implementation of new regulatory guidelines
- Monitor and resolve real-time surveillance alerts
- Detect and report suspicious trading patterns and market abuse
- Oversee the AML and KYC framework
- Manage risk categorization PMLA reporting and onboarding audits
- Coordinate internal system and concurrent audits
- Act as the primary contact for SEBI and exchange inspections
- Ensure accurate and timely submission of inspection responses
- Maintain adherence to daily monthly quarterly and annual compliance filings
- Monitor investor grievance redressal and drive prompt resolution
- Perform pre-production audits on new product features
- Approve control testing reports before product features go live
Requirements
- 5-8 years of core experience in stock broking compliance
- Fintech or digital broking experience is a plus
- Subject matter expertise in SEBI Stock Broker Regulations 2026
- Knowledge of PMLA guidelines and exchange bylaws
- Ability to analyze complex trading data and identify procedural risks
- Ability to communicate regulatory requirements clearly to technology and design teams
- Ability to plan and execute compliance projects and audits independently
- MBA or a professional degree in finance commerce or a related field
- CA or CS qualification
- NISM certificates are a plus
Benefits
- Up to 8 months of maternity leave
- 1 month of paternity leave
- Medical bill reimbursement for gender reassignment surgery