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 (Gujarat)
🏢 Taglynk
📍 Gujarat