Job Description
About the Role
nYou 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.
nWhat You Will Do
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- Advertisement & Marketing Approval: Review and provide compliance sign-off on all marketing collateral, social media content, and app notifications.n
- Liaise with Stock Exchanges (NSE/BSE/MCX) for prior approval of advertisements and ensure adherence to the latest SEBI Code of Advertisement.n

nRegulatory Intelligence (Circular Management):
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- Daily tracking of SEBI and Exchange circulars.n
- Interpret and disseminate impact analysis to relevant departments such as Product, Tech, and Operations.n
- Drive implementation of current guidelines within specified timelines.n

nSurveillance & AML:
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- Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse.n




- Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow.n

nAudits & Inspections:
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- Manage and coordinate Internal Audits, System Audits, and Concurrent Audits.n
- Act as the primary point of contact for SEBI/Exchange inspections, ensuring data accuracy and timely submission of responses.n

nReporting & Filings:
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- Ensure 100% adherence to the Compliance Calendar covering daily, monthly, quarterly, and annual filings.n
- Monitor the investor grievance redressal system (SCORES/internal) and drive prompt resolution.n

nProduct Compliance:
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- Perform Pre-Prod Audits on new features such as F&O;, MTF, SIP, etc., to ensure they meet the Compliant-by-Design standard.n
- Provide sign-off on control testing reports before any feature goes live.n

nWhat You Should Have
nMandatory / Core Requirements:
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📌 Compliance Manager (Lapkaman)
🏢 Taglynk
📍 Lapkaman