Hiring: Senior Compliance Skilled | Wealth Management and Broking

Location: Mumbai

Experience: 12–16 Years

Build Compliance Excellence Across Capital Markets & Wealth Management

An excellent opportunity for an experienced Compliance Professional to lead regulatory compliance across multiple SEBI-regulated businesses within a growing financial services platform. The role offers extensive exposure to capital markets, stock broking, depository operations, investment advisory, distribution and equity research.

Key Responsibilities
Manage end-to-end compliance across Depository Participant (DP), Stock Broking, Distribution, Investment Advisory and Research Analyst businesses.
Ensure adherence to SEBI regulations, NSE, BSE, NSDL, CDSL guidelines and other applicable regulatory requirements.
Monitor regulatory updates and drive timely implementation of new circulars and compliance requirements.
Conduct compliance reviews, risk assessments and audits, ensuring timely closure of observations.
Review compliance policies, SOPs, client documentation,



disclosures and regulatory filings.
Coordinate regulatory inspections and liaise with regulators, stock exchanges and depositories.
Partner with Business, Operations, Risk and Legal teams to strengthen compliance frameworks and mitigate regulatory risks.

Ideal Candidate Profile
12–16 years of relevant experience in Regulatory Compliance, Stock Broking, Wealth Management or Capital Markets.
Solid working knowledge of SEBI regulations, stock exchange requirements and depository compliance.
Hands-on experience across DP, Broking, Distribution, Investment Advisory and Research Analyst compliance.
Graduate/Postgraduate in Finance, Commerce, Law or a related discipline. NISM certifications preferred.
Robust analytical, problem-solving and stakeholder management skills, with a proactive approach to regulatory risk management.
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📌 Compliance Wealth Management And Broking Mumbai (India)
🏢 Moneylicious Investments and Consulting Services Private
📍 India