Manager Compliance
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Manage the end-to-end compliance lifecycle across product development, marketing approvals, surveillance, regulatory reporting, audits, inspections, filings, investor grievances, and product compliance.
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 and disseminate impact analyses.
- Drive implementation of new regulatory guidelines.
- Monitor surveillance alerts and detect suspicious trading patterns or market abuse.
- Oversee AML and KYC processes, including risk categorization and PMLA reporting.
- Coordinate internal, system, and concurrent audits.
- Act as the primary contact for SEBI and exchange inspections.
- Manage compliance filings and investor grievance resolution.
- Perform pre-production audits and approve control testing 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, PMLA guidelines, and exchange bylaws.
- Ability to analyze complex trading data and identify procedural risks.
- Ability to communicate regulatory requirements 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