Role Overview:

We are looking for a seasoned Compliance Professional with 12-15 years of experience in the financial services/wealth management industry, with strong exposure to multiple SEBI-regulated businesses.

Key Responsibilities:

- Manage compliance across DP, Broking, Distribution, Investment Advisory and Research Analyst businesses.
- Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL and other applicable regulatory requirements.
- Monitor regulatory changes and ensure timely implementation across business functions.
- Conduct compliance reviews, audits and risk assessments and drive closure of observations.
- Review policies, SOPs, client documentation, disclosures and regulatory filings.
- Support regulatory inspections and manage interactions with regulators, exchanges and depositories.
- Partner with Business, Operations, Risk and Legal teams to provide practical compliance guidance.
- Identify potential compliance risks and proactively recommend corrective measures

Key Attributes:





- Self-starter with the ability to work independently and take ownership.
- Robust problem-solving and analytical skills with attention to detail.
- Proactive approach to identifying and mitigating compliance risks.
- Strong stakeholder management and communication skills.
- Ability to operate effectively in a fast-paced, dynamic environment.
- Ability to balance business requirements with regulatory expectations.
- 12-15 years of relevant compliance experience in Wealth Management / Broking / Capital Markets / Financial Services.
- Strong working knowledge of SEBI regulations and applicable exchange/depository guidelines.
- Proven experience across DP, Broking, Distribution, Investment Advisory and Research Analyst.
- Graduate/Postgraduate in Finance, Commerce, Law or related field. NISM certifications preferred.

📌 Compliance Professional (Mumbai)
🏢 Neo Wealth Management
📍 Mumbai