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 (Bengaluru)
🏢 Taglynk
📍 Bengaluru