Role Overview:

Univest is seeking a highly experienced Chief Compliance Officer (CCO) to lead regulatory governance, statutory compliance, risk controls, and regulatory relations across all its entities: Univest, Univest Broking, and Univest Research.

You're expected to build and scale a robust risk and compliance framework, ensuring our business growth fully aligns with SEBI guidelines, Advisory regulation, Stock Exchange (NSE/BSE) regulations, DP regulations (NSDL/CDSL), RBI, and RBI/Fintech data governance laws.

Key Responsibilities:

1. Enterprise Compliance & Governance:

- Build, execute, and continuously upgrade the group-wide compliance policy architecture covering stockbroking, research advisory, investment products, and tech platforms.
- Act as the designated compliance lead and primary liaison for SEBI, NSE, BSE, MCX, CDSL/NSDL, AMFI, and other regulatory authorities.
- Oversee statutory filings, periodic audits, regulatory reporting, inspections, and formal responses to regulatory show-cause notices or inquiries.

2. Entity-Specific Regulatory Management:

- Univest Broking: Ensure full compliance with SEBI Broking Regulations, Exchange Business Rules, Authorised Person (AP) norms, client code modifications, KYC/AML norms, edge risk management, margin trading facilities (MTF), and client funds segregation.
- UniResearch: Establish strict Chinese Walls and supervisory controls around research analyst operations, investment advice, SEBI (RA) regulations, disclosure frameworks, model portfolios, and marketing communications.
- Platform: Guide product and engineering teams on regulatory-by-design principles, digital onboarding journeys, e-KYC, customer consent frameworks, and data protection laws (DPDP Act).

3. Operational Control & Internal Audits:

- Design and execute Annual/ Biannual/ Quarterly internal compliance audit programs across broking, research, and platform operations.
- Monitor sales, product communications, ad copy, partner promotion materials,



and social media content to ensure strict compliance with SEBI advertising codes and anti-fraud guidelines.
- Establish internal fraud detection mechanisms, anti-money laundering (AML) / CFT surveillance systems, and insider trading prevention frameworks (PIT Regulations).

4. Regulatory Strategy & Product Consultation:

- Partner closely with Product, Tech, Business Development, and Marketing teams to evaluate recent product launches, features, algorithms, and revenue models from a regulatory standpoint.
- Proactively track regulatory changes, issue impact assessments to senior leadership, and adapt business workflows to stay ahead of regulatory updates.

5. Board & Stakeholder Reporting:

- Present quarterly compliance updates, audit findings, regulatory risk matrices, and remediation roadmaps to the Board of Directors and Audit Committee.
- Instill a company-wide culture of regulatory integrity, customer protection, and legal accountability.

Key Performance Indicators (KPIs):

- 100% On-Time Regulatory Filings: Zero default or penalty on SEBI, Exchange, and Depository statutory submissions.
- Audit & Inspection Outcomes: Clean regulatory inspection records with minimal/zero adverse observations or penalties.
- Product Launch Speed & Compliance: Rapid regulatory clearance and legal architecture for new product features.
- Partner & AP Network Oversight: Zero non-compliance breaches across the Authorised Person (AP) and distributor network.
- Issue Resolution: Resolution turnaround time (TAT) for regulatory notices, customer grievances, and audit recommendations.

Ideal Candidate Profile:

- Experience: 15 - 20 years of core compliance experience in stockbroking, SEBI registered entities (RA/RIA/DP), wealth management, or fintech.
- Regulatory Expertise: In-depth knowledge of SEBI (Stock Brokers) Regulations, SEBI (Research Analysts) Regulations, Prohibition of Insider Trading (PIT), Prohibition of Fraudulent and Unfair Trade Practices (PFUTP), and Exchange Bye-laws.
- Qualifications: Qualified Company Secretary (CS), LL.B / Master of Laws, or CA/MBA Finance with specialized compliance certifications (e.g., NISM Series III-A, NISM Series VIII).

📌 Chief Compliance Officer (Gurugram)
🏢 Univest
📍 Gurugram