Your Role
- Develop, implement and monitor internal compliance frameworks, policies and controls to ensure regulatory adherence
- Ensure adherence to regulatory reporting, surveillance and timely submission of statutory returns with accuracy and completeness
- Lead day-to-day compliance operations for the broking and investment business, ensuring alignment with SEBI, NSE, BSE and other regulatory guidelines
- Maintain and track a comprehensive compliance calendar covering SEBI, exchange and internal requirements
- Support periodic employee training and awareness programs on compliance obligations
- Partner with business, product and legal teams to assess regulatory risks and ensure compliant execution of new initiatives
- Serve as a key liaison during regulatory audits, inspections and inquiries, ensuring clear communication and timely responses
Qualifiers
- 4+ years of experience in compliance within banking or financial services
- Experience working with or supporting online broking platforms
- Strong understanding of SEBI, NSE, and BSE regulatory guidelines
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.
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