Role & responsibilities

- Ensure end-to-end compliance with SEBI regulations applicable to Wealth Management, Investment products, and Capital Market activities.

- Monitor and implement regulatory circulars and guidelines issued by SEBI, RBI and other financial regulators relevant to the wealth platform.

- Oversee regulatory reporting and filings to ensure accurate and timely submission to regulators.

- Design, implement and update compliance policies, SOPs, and internal control frameworks aligned with regulatory requirements.

- Provide advisory support to wealth, investment and product teams to ensure regulatory compliant product structures and customer journeys.

- Manage and coordinate regulatory inspections, audits and internal compliance reviews.

- Track regulatory developments related to investment advisory, distribution, portfolio management and capital markets and drive implementation across business processes.

- Ensure adherence to KYC, AML, investor protection and grievance redressal mechanisms as per regulatory norms.

- Liaise with SEBI,



RBI and other regulatory bodies for clarifications, regulatory interactions and compliance submissions.

- Monitor customer grievance handling and investor complaints, ensuring resolution within regulatory timelines.

- Support internal teams in risk mitigation, compliance monitoring and regulatory change management.

- Maintain solid governance standards while handling time-sensitive regulatory escalations and compliance issues.

Preferred candidate profile

- University degree in Law or a related field (post-graduate education with a focus on compliance and risk management is preferred)

- 8+ years of experience in a senior compliance management role

- Superior knowledge of Fintech, Wealth regulations and corporate procedures for maintaining compliance

- Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.)

- Excellent project management and leadership skills

- Strong organizational skills

📌 Sr. Manager- Regulatory Compliance (Stock Broking) (Gurugram)
🏢 Mobikwik
📍 Gurugram