Job Description

About the Role

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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 .

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What 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.
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- Liaise with Stock Exchanges (NSE/BSE/MCX) for prior approval of advertisements and ensure adherence to the latest SEBI Code of Advertisement.
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Regulatory Intelligence (Circular Management):

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- Daily tracking of SEBI and Exchange circulars.
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- Interpret and disseminate impact analysis to relevant departments such as Product, Tech, and Operations.
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- Drive implementation of new guidelines within specified timelines.
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Surveillance & AML:

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- Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse.
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- Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow.
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Audits & Inspections:

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

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

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- Perform Pre-Prod Audits on current features such as F&O;, MTF, SIP, etc., to ensure they meet the Compliant-by-Design standard.
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- Provide sign-off on control testing reports before any feature goes live.
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What You Should Have

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Mandatory / Core Requirements:

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- Experience: 4–8 years of relevant experience, preferably in Stock Broking Compliance .
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- Strong understanding of SEBI regulations, Stock Exchange requirements, and Exchange bylaws .
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- Hands-on experience with regulatory compliance, reporting, audits, and inspections.
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- Strong exposure to NSE/BSE/MCX regulatory requirements.
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- Good understanding of PMLA, AML/KYC and regulatory reporting .
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- Ability to independently manage compliance activities and projects.
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- Strong analytical and problem-solving skills.
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- Ability to work closely with Product, Tech, Operations, and other business teams.
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- Qualification: CA/CS/MBA/Finance/Commerce or a relevant professional qualification .
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Good to Have:

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- Prior experience with SEBI .
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- Experience in Fintech/Digital Broking .
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- NISM certifications .
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- Experience in Advertisement/Marketing approvals with Stock Exchanges.
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- Experience with Product Compliance / Compliant-by-Design frameworks.
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- Exposure to real-time surveillance and market abuse monitoring .
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- Experience handling SEBI/Exchange inspections independently.
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- Experience across multiple jurisdictions or regulatory frameworks.
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📌 Compliance Manager - Stock Broking (Gandhinagar)
🏢 Taglynk
📍 Gandhinagar