Senior Manager - Compliance Location Mohali MumbaiCompany Finvasia Position Overview - The Senior Manager - Compliance will lead regulatory compliance for Finvasia s stock broking operations The role requires 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 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 Robust 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