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