Compliance Manager

Job Title: Compliance Manager

Location: Mumbai

Experience: 4+ Years

Responsibilities:

Strategic Compliance Leadership:

- Design, implement, and own the comprehensive, group-wide Compliance Policy and Framework that aligns with RBI, SEBI, and other applicable regulatory bodies in India.

Digital Product Compliance:

- Act as the primary compliance partner for our Product and Engineering teams.

- Review and approve all new features, user flows, and product changes to ensure compliance is built-in by design (e.g., in areas like digital lending, investment advisory flows, customer onboarding/KYC, and grievance redressal).

Regulatory Liaison & Licensing:

- Serve as the chief point of contact with regulatory authorities (RBI, SEBI, etc.).

- Strategically manage the application process for, or ensure compliance with, the SEBI Investment Adviser (IA) Regulations.

Start-up Contribution:

- Lead compliance initiatives in alignment with a start-up's speed and resource constraints.

- Be willing to contribute to governance, policy drafting, and internal controls beyond the immediate compliance function, acting as a true cross-functional team player.

Board & Committee Reporting:

- Ensure timely and accurate reporting on the status of compliance, and adherence to the Annual Activity Plan to the CEO and the Audit Committee/Board.

- Self-starters who can build processes and infrastructure from the ground up with minimal supervision, view regulatory constraints as design challenges, not roadblocks, take full ownership of outcomes and operate with the highest ethical standards, can pivot quickly and manage ambiguity, prioritizing high-impact compliance tasks effectively.