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.