Job Description
About the Role
You will be responsible for the end-to-end compliance lifecycle, from product development and marketing approvals to real-time surveillance and regulatory reporting. This is a hands-on role requiring a mix of regulatory expertise, analytical rigour, and a
product-first mindset . What You Will Do Advertisement & Marketing Approval:
Review and provide compliance sign-off on all marketing collateral, social media content, and app notifications. Liaise with
Stock Exchanges (NSE/BSE/MCX)
for prior approval of advertisements and ensure adherence to the latest SEBI Code of Advertisement. Regulatory Intelligence (Circular Management): Daily tracking of SEBI and Exchange circulars. Interpret and disseminate impact analysis to relevant departments such as Product, Tech, and Operations. Drive implementation of new guidelines within specified timelines. Surveillance & AML: Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse. Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow. Audits & Inspections: Manage and coordinate Internal Audits, System Audits, and Concurrent Audits. Act as the primary point of contact for SEBI/Exchange inspections, ensuring data accuracy and timely submission of responses. Reporting & Filings: Ensure 100% adherence to the Compliance Calendar covering daily, monthly, quarterly, and annual filings. Monitor the investor grievance redressal system (SCORES/internal) and drive prompt resolution. Product Compliance: Perform Pre-Prod Audits on new features such as F&O, MTF, SIP, etc., to ensure they meet the
Compliant-by-Design
standard. Provide sign-off on control testing reports before any feature goes live. What You Should Have Mandatory / Core Requirements: Experience:
4–8 years of relevant experience, preferably in
Stock Broking Compliance . Strong understanding of
SEBI regulations, Stock Exchange requirements, and Exchange bylaws . Hands-on experience with regulatory compliance, reporting, audits, and inspections. Strong exposure to
NSE/BSE/MCX
regulatory requirements. Good understanding of
PMLA, AML/KYC and regulatory reporting . Ability to independently manage compliance activities and projects. Strong analytical and problem-solving skills. Ability to work closely with Product, Tech, Operations, and other business teams. Qualification:
CA/CS/MBA/Finance/Commerce or a relevant professional qualification . Good to Have: Prior experience with
SEBI . Experience in
Fintech/Digital Broking . NISM certifications . Experience in
Advertisement/Marketing approvals
with Stock Exchanges. Experience with
Product Compliance / Compliant-by-Design
frameworks. Exposure to
real-time surveillance and market abuse monitoring . Experience handling
SEBI/Exchange inspections
independently. Experience across multiple jurisdictions or regulatory frameworks.
product-first mindset . What You Will Do Advertisement & Marketing Approval:
Review and provide compliance sign-off on all marketing collateral, social media content, and app notifications. Liaise with
Stock Exchanges (NSE/BSE/MCX)
for prior approval of advertisements and ensure adherence to the latest SEBI Code of Advertisement. Regulatory Intelligence (Circular Management): Daily tracking of SEBI and Exchange circulars. Interpret and disseminate impact analysis to relevant departments such as Product, Tech, and Operations. Drive implementation of new guidelines within specified timelines. Surveillance & AML: Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse. Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow. Audits & Inspections: Manage and coordinate Internal Audits, System Audits, and Concurrent Audits. Act as the primary point of contact for SEBI/Exchange inspections, ensuring data accuracy and timely submission of responses. Reporting & Filings: Ensure 100% adherence to the Compliance Calendar covering daily, monthly, quarterly, and annual filings. Monitor the investor grievance redressal system (SCORES/internal) and drive prompt resolution. Product Compliance: Perform Pre-Prod Audits on new features such as F&O, MTF, SIP, etc., to ensure they meet the
Compliant-by-Design
standard. Provide sign-off on control testing reports before any feature goes live. What You Should Have Mandatory / Core Requirements: Experience:
4–8 years of relevant experience, preferably in
Stock Broking Compliance . Strong understanding of
SEBI regulations, Stock Exchange requirements, and Exchange bylaws . Hands-on experience with regulatory compliance, reporting, audits, and inspections. Strong exposure to
NSE/BSE/MCX
regulatory requirements. Good understanding of
PMLA, AML/KYC and regulatory reporting . Ability to independently manage compliance activities and projects. Strong analytical and problem-solving skills. Ability to work closely with Product, Tech, Operations, and other business teams. Qualification:
CA/CS/MBA/Finance/Commerce or a relevant professional qualification . Good to Have: Prior experience with
SEBI . Experience in
Fintech/Digital Broking . NISM certifications . Experience in
Advertisement/Marketing approvals
with Stock Exchanges. Experience with
Product Compliance / Compliant-by-Design
frameworks. Exposure to
real-time surveillance and market abuse monitoring . Experience handling
SEBI/Exchange inspections
independently. Experience across multiple jurisdictions or regulatory frameworks.
About this job listing
This job opportunity is provided through our
external job listing network. MyJobAlerts helps
you discover job opportunities and redirects you
to the original listing to apply.