Compliance Manager - Stock Broking

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 professional 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.