About Company :

A fast-growing, venture-backed fintech/WealthTech platform building a technology-led ecosystem that simplifies traditional savings instruments while partnering closely with regulated financial institutions.

Founded by experienced leaders from the fintech and consumer-tech ecosystem, the business has scaled rapidly and is focused on expanding its product portfolio, distribution channels, and customer reach across India.

Location : Bangalore

The Role :

To manage compliance for the Company's Stock Broking, Depository Participant and Online Bond Platform businesses, ensuring adherence to applicable regulatory requirements, maintaining an effective compliance framework and acting as a key interface with regulators, exchanges and depositories.

The role will be responsible for regulatory compliance oversight, inspections, audits, compliance monitoring, governance, regulatory reporting and implementation of regulatory change across the Company's regulated businesses.

Key Responsibilities :

Regulatory Compliance Management :

- Ensure compliance with applicable SEBI regulations, stock exchange requirements, depository requirements and internal governance frameworks.

- Monitor regulatory developments and drive implementation of new regulatory requirements.

- Develop, maintain and periodically enhance compliance policies, procedures and control frameworks.

- Advise business, operations and technology teams on regulatory compliance requirements.

Regulatory Reporting & Filings :

- Oversee all periodic and event-based regulatory filings and reporting obligations.

- Review compliance certifications, regulatory submissions and management reports.

- Ensure timely and accurate completion of regulatory filings and disclosures.

- Maintain regulatory registers, compliance records and evidence repositories.

Regulatory Inspections & Audits:

- Lead interactions during SEBI, exchange, depository and internal audits or inspections.

- Coordinate information gathering, regulatory responses and inspection management.

- Track and drive closure of inspection observations, audit findings and corrective action plans.

- Maintain readiness for regulatory reviews and supervisory examinations.

Compliance Monitoring & Testing :

- Oversee compliance monitoring programmes and surveillance activities.

- Review testing outcomes and remediation plans.

- Identify compliance gaps, control weaknesses and regulatory risks.

- Implement corrective and preventive measures across business functions.

Risk Management & Governance :

- Identify, assess and escalate regulatory and compliance risks.

- Provide periodic compliance updates to senior management and relevant committees.

- Support implementation of governance initiatives and regulatory best practices.

- Drive continuous improvement of the compliance framework.

Regulatory & Stakeholder Engagement :

- Act as a point of contact for regulators, stock exchanges, depositories and auditors.

- Support regulatory inspections, supervisory interactions and information requests.

- Coordinate with Business, Operations, Product and Technology teams on compliance initiatives.

- Assist senior management on regulatory strategy and risk management matters.

Team Leadership :

- Manage compliance operations and monitoring resources.

- Oversee compliance reporting, filing and testing functions.

- Conduct compliance awareness and training programmes.

- Foster a strong compliance culture across regulated businesses.

Experience & Qualifications :

- 6 - 7 years of post-qualification experience in Compliance, Legal, Risk Management, Audit, Operations or Regulatory functions within financial services.

- Minimum 2 - 3 years of direct experience in Stock Broking and/or Depository Participant compliance and/or Mutual Funds and/or any securities regulatory business.

- Experience managing compliance obligations under SEBI, Stock Exchange and Depository regulations is preferred.

- Experience handling regulatory inspections, audits, regulatory correspondence and supervisory reviews is preferred.

- Experience overseeing regulatory reporting, filings, monitoring and governance frameworks.

- Be a graduate or equivalent from a Government-recognised institution with Company Secretaries (CS), Lawyers (LL.B.) or MBAs qualification.

- Have at least 2 years of prior experience in handling Compliance, Legal, Audit, Finance, Operations or Risk Management functions.