Job DescriptionAbout 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.
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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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nRegulatory Intelligence (Circular Management):

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- Daily tracking ofSEBI 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 ofnew guidelines within specified timelines.
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nSurveillance & 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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nAudits & 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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nReporting & 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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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.
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- Provide sign-off on control testing reports before any feature goes live.
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nWhat You Should Have

NMandatory / Core Requirements:

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- Experience: 4–8 years of relevant experience, preferably in Stock Broking Compliance.
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- Strong understanding ofSEBI 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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- Robust 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 closelywith 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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nGood 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 ProductCompliance / 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 (Odhav)
🏢 Taglynk
📍 Odhav