Senior Manager - Compliance

As a Senior Manager Compliance at Finvasia, your role will involve leading regulatory compliance for the stock broking operations. You will need a deep understanding of SEBI and Stock Exchange regulations, strong analytical skills, and the ability to proactively manage regulatory risks in a high-growth fintech environment. **Key Responsibilities:** - 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. - 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. - Strengthen internal risk controls, compliance frameworks. - Identify process gaps, recommend corrective/preventive measures, and ensure effective mitigation. - 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. - 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 a minimum of 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.,