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 skilled 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.

📌 Compliance Manager - Stock Broking (Gandhinagar)
🏢 Taglynk
📍 Gandhinagar