We're Hiring | Compliance Manager (Mid-Level) | Capital Markets | Mumbai
Join a fast-growing financial services platform and play a key role in strengthening our regulatory and governance framework across Broking and Clearing operations.
We are seeking a dynamic Compliance Professional with strong expertise in Capital Markets Compliance and hands-on experience in SEBI and Exchange regulations.
Location: Mumbai
Experience: 5–8 Years
Qualification: Graduate (CS Preferred)
Key Responsibilities
Support the development, implementation, and monitoring of the compliance framework across business verticals
Ensure adherence to SEBI, Exchange, and other applicable regulatory requirements
Review SOPs, policies, and procedures to ensure regulatory alignment
Track regulatory circulars and support timely implementation of compliance updates
Conduct internal compliance reviews, monitoring, and risk assessments
Manage regulatory filings and periodic reporting requirements
Support regulatory audits, inspections, and compliance reviews
Coordinate with internal stakeholders and senior management on compliance matters
Review and vet agreements with vendors, service providers, institutional clients, and FPIs
Manage CTCL compliances and Exchange approvals related to COLO, ALGO, and trading vendors
Key Accountability Areas
Accurate and timely regulatory reporting
Compliance support for Broking and Clearing audits and inspections
Effective implementation of regulatory circulars and compliance updates
Monitoring of financial and surveillance compliance frameworks
Strengthening regulatory governance and internal control mechanisms
Desired Skills & Experience
5–8 years of experience in Capital Markets Compliance
Experience handling Institutional, HNI, NRI, and FPI client lifecycle compliance
Strong understanding of SEBI and Exchange regulations
Hands-on experience with compliance platforms such as LD, Comptek, and TSS
NISM Certifications preferred
Exposure to Clearing Compliance will be an added advantage
Strong analytical, regulatory interpretation, stakeholder management, and coordination skills
Interested candidates may share their profiles at: [email protected]
Pay: ₹800,000.00 - ₹1,500,000.00 per year
Work Location: In person
