will lead regulatory compliance for Finvasia's stock broking operations. The role requires a deep understanding of SEBI and Stock Exchange regulations, strong analytical skills, and the ability to proactively manage regulatory risks in a high-growth fintech environment.
Key Responsibilities
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Regulatory Compliance & Oversight
--------------------------------------
Interpret and implement new
SEBI/Exchange circulars
, regulations, and guidelines.
Ensure full compliance with
SEBI, NSE, BSE, MCX, CDSL/NSDL
and other relevant regulatory bodies.
Oversee periodic
regulatory reporting
, filings, and disclosures.
Handling Regulatory Inspections & Enquiries
Lead end-to-end management of
regulatory inspections, audits, exchange alerts, and enquiries
.
Coordinate internal teams to gather accurate data, respond to regulator queries, and ensure timely closure of observations.
Risk Management & Controls
Strengthen internal risk controls, compliance frameworks.
Identify process gaps, recommend corrective/preventive measures and ensure effective mitigation.
Product Compliance & Business Support
Provide compliance guidance for
new products, new business initiatives, platform enhancements, and trading features
.
Review process flows, policies, and system changes to ensure regulatory alignment.
Support cross-functional teams (Product, Technology, Operations, Risk) with compliance insights.
Stakeholder Engagement
Respond promptly to compliance-related queries from internal teams, auditors, and regulators.
Prepare compliance dashboards, reports, and updates for senior management.
Ensure continuous stakeholder education on regulatory developments.
Qualifications & Experience
--------------------------------
Post graduate/professionally qualified with Minimum
7 years of experience
in
stock broking compliance
.
Strong understanding of
SEBI/Exchange regulations
, capital market products, and broking processes.
Experience managing
exchange alerts
, inspections, and surveillance matters.
Exposure to fintech or technology-led broking platforms is an advantage.
* Excellent communication, analytical, and stakeholder-management skills.
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