Senior Compliance Manager

Location:

Company:

Position Overview

Senior Manager Compliance

Key Responsibilities

Regulatory Compliance & Oversight

• Interpret and implement new

  SEBI/Exchange circulars

  , regulations, and guidelines.
• Ensure full compliance with

  SEBI, NSE, BSE, MCX, CDSL/NSDL

  and other relevant regulatory bodies.
• Oversee periodic

  regulatory reporting

  , filings, and disclosures.

Handling Regulatory Inspections & Enquiries

• Lead end-to-end management of

  regulatory inspections, audits, exchange alerts, and enquiries

  .
• Coordinate internal teams to gather accurate data, respond to regulator queries, and ensure timely closure of observations.

Risk Management & Controls

• Strengthen internal risk controls, compliance frameworks.
• Identify process gaps, recommend corrective/preventive measures and ensure effective mitigation.

Product Compliance & Business Support

• Provide compliance guidance for

  new products, new business initiatives, platform enhancements, and trading features

  .
• Review process flows, policies, and system changes to ensure regulatory alignment.
• Support cross-functional teams (Product, Technology, Operations, Risk) with compliance insights.

Stakeholder Engagement

• Respond promptly to compliance-related queries from internal teams, auditors, and regulators.
• Prepare compliance dashboards, reports, and updates for senior management.
• Ensure continuous stakeholder education on regulatory developments.

Qualifications & Experience

• Post graduate/professionally qualified with Minimum

  7 years of experience

  in

  stock broking compliance

  .
• Strong understanding of

  SEBI/Exchange regulations

  , capital market products, and broking processes.
• Experience managing

  exchange alerts

  , inspections, and surveillance matters.
• Exposure to fintech or technology-led broking platforms is an advantage.
• Excellent communication, analytical, and stakeholder-management skills.