Sr. Manager- Regulatory Compliance (Stock Broking)

Role & responsibilities

• Ensure end-to-end compliance with SEBI regulations applicable to Wealth Management, Investment products, and Capital Market activities.

• Monitor and implement regulatory circulars and guidelines issued by SEBI, RBI and other financial regulators relevant to the wealth platform.

• Oversee regulatory reporting and filings to ensure accurate and timely submission to regulators.

• Design, implement and update compliance policies, SOPs, and internal control frameworks aligned with regulatory requirements.

• Provide advisory support to wealth, investment and product teams to ensure regulatory compliant product structures and customer journeys.

• Manage and coordinate regulatory inspections, audits and internal compliance reviews.

• Track regulatory developments related to investment advisory, distribution, portfolio management and capital markets and drive implementation across business processes.

• Ensure adherence to KYC, AML, investor protection and grievance redressal mechanisms as per regulatory norms.

• Liaise with SEBI, RBI and other regulatory bodies for clarifications, regulatory interactions and compliance submissions.

• Monitor customer grievance handling and investor complaints, ensuring resolution within regulatory timelines.

• Support internal teams in risk mitigation, compliance monitoring and regulatory change management.

• Maintain strong governance standards while handling time-sensitive regulatory escalations and compliance issues.

Preferred candidate profile

• University degree in Law or a related field (post-graduate education with a focus on compliance and risk management is preferred)

• 8+ years of experience in a senior compliance management role

• Superior knowledge of Fintech, Wealth regulations and corporate procedures for maintaining compliance

• Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.)

• Excellent project management and leadership skills

• Strong organizational skills