Compliance Officer - Online Bond Platform Provider

Role: Compliance officer

Location: Gurgaon ( HQ )

Qualification: CS

Experience: 4+ Years

Industry: Capital Markets / Financial Services / Online Bond Broking / Stock Broking

About GoldenPi:

GoldenPi is India's leading digital platform for fixed-income investments, enabling investors to access bonds and other fixed-income products through a seamless, technology-driven experience. As we continue to expand, we are looking for an experienced Compliance Officer to strengthen our regulatory and compliance framework.

Role Overview:

We are seeking a seasoned Compliance Officer with over 4 years+ of experience in compliance within the financial services industry, including at least 4 years in online bond broking or stock broking. The ideal candidate should have extensive experience working with SEBI, stock exchanges, depositories, and other regulatory bodies while ensuring the organization maintains the highest standards of regulatory compliance.

Key Responsibilities:

- Ensure end-to-end compliance with applicable SEBI regulations, stock exchange circulars, and other regulatory requirements.

- Act as the primary liaison with regulators, including SEBI, stock exchanges, depositories, and other statutory authorities.

- Manage regulatory communications, submissions, clarifications, approvals, and responses to regulatory queries.

- Oversee KYC, AML, client onboarding, and investor protection compliance in line with regulatory guidelines.

- Support internal, statutory, SEBI, exchange, and depository audits, inspections, and surveillance activities.

- Monitor regulatory developments and assess their impact on business operations, advising internal stakeholders on implementation.

- Ensure timely preparation and submission of all regulatory filings, reports, returns, and disclosures.

- Work closely with Legal, Risk, Operations, Technology, and Business teams to embed compliance requirements into business processes.

- Maintain and update compliance policies, SOPs, internal controls, and governance frameworks.

- Drive compliance awareness through training and guidance across business functions.

- Support licensing and regulatory approval processes related to Stock Broking, Depository Participant, and other financial market licenses.

Desired Candidate Profile:

- 4+ years of compliance experience within Capital Markets or Financial Services.

- Minimum 4 years of hands-on experience in Online Bond Broking and/or Stock Broking.

Strong working knowledge of:

1. SEBI Regulations

2. Stock Exchange (NSE/BSE) compliance

3. Depository regulations (NSDL/CDSL)

4. KYC & AML regulations

5. Investor grievance handling

6. Regulatory reporting and filings

- Experience managing regulatory inspections, audits, surveillance, and compliance reviews.

- Exposure to obtaining and managing regulatory licenses such as Stock Broking, Depository Participant, or similar registrations is highly preferred.

- Strong understanding of evolving regulatory frameworks and their business implications.

- Excellent stakeholder management, communication, documentation, and analytical skills.

- Professional certifications such as LLB, CS, CA, CFA, or relevant NISM certifications will be an added advantage.

What We're Looking For:

- High standards of integrity, ethics, and professionalism.

- Ability to independently manage regulatory relationships and compliance functions.

- Strong problem-solving and decision-making capabilities.

- Ability to work in a fast-paced, technology-driven fintech environment while balancing business growth with regulatory excellence.

Join GoldenPi and play a key role in strengthening our regulatory governance while enabling innovation in India's fixed-income investment ecosystem.