Role Summary

Raise is built on this core philosophy - we will bring exceptionally excellent products, awesome user experience and best in class customer service to our users. We have started with our first step by launching an Investment & Trading platform – Dhan (www.dhan.co) in November 2021.

Today, Dhan stands among India's Top 10 stock brokers and continues to be one of the fastest-growing platforms in the industry. Backed by a passionate team of builders, believers, designers, and problem-solvers, Raise is creating a trusted ecosystem of financial products that empower millions of users to make smarter financial decisions. We are driven by innovation, customer obsession, and a relentless focus on crafting experiences that users love.

We are looking for an AP Compliance Manager to manage end-to-end compliance for Authorised Persons (APs) in line with SEBI, Exchange, and internal Stock Broker guidelines. The role will be responsible for AP onboarding, registration, compliance monitoring, audits, regulatory reporting, surveillance, and stakeholder management,



ensuring APs remain compliant with applicable regulatory requirements

Key Responsibilities

Monitor AP business activities to ensure compliance with SEBI and Exchange regulations.
Ensure APs do not engage in any unregistered or unregulated activities.
Review and act on compliance alerts related to APs.
Conduct periodic compliance checks and surprise visits to AP offices, wherever required.
Identify compliance gaps and recommend corrective actions.
Ensure complete documentation and due diligence during AP onboarding.
Coordinate with Exchanges for AP registration, approvals, rejections, and clarifications.
Ensure AP records and registrations are updated and maintained accurately.
Prepare and submit AP-related regulatory reports to the Exchanges.
Update AP details and information on relevant Exchange portals.
Support internal audits, Exchange inspections, and business/compliance reviews.
Maintain proper document

📌 Senior Manager Compliance (Mumbai)
🏢 Raise Financial Services
📍 Mumbai