Website:
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Job details:
Hiring: Senior Compliance Professional | Wealth Management and Broking
Location: Mumbai
Experience: 12–16 Years
Build Compliance Excellence Across Capital Markets & Wealth Management
An excellent opportunity for an experienced Compliance Professional to lead regulatory compliance across multiple SEBI-regulated businesses within a growing financial services platform. The role offers extensive exposure to capital markets, stock broking, depository operations, investment advisory, distribution and equity research.
Key Responsibilities
- Manage end-to-end compliance across Depository Participant (DP), Stock Broking, Distribution, Investment Advisory and Research Analyst businesses.
- Ensure adherence to SEBI regulations, NSE, BSE, NSDL, CDSL guidelines and other applicable regulatory requirements.
- Monitor regulatory updates and drive timely implementation of new circulars and compliance requirements.
- Conduct compliance reviews, risk assessments and audits, ensuring timely closure of observations.
- Review compliance policies, SOPs, client documentation, disclosures and regulatory filings.
- Coordinate regulatory inspections and liaise with regulators, stock exchanges and depositories.
- Partner with Business, Operations, Risk and Legal teams to strengthen compliance frameworks and mitigate regulatory risks.
Ideal Candidate Profile
- 12–16 years of relevant experience in Regulatory Compliance, Stock Broking, Wealth Management or Capital Markets.
- Strong working knowledge of SEBI regulations, stock exchange requirements and depository compliance.
- Hands-on experience across DP, Broking, Distribution, Investment Advisory and Research Analyst compliance.
- Graduate/Postgraduate in Finance, Commerce, Law or a related discipline. NISM certifications preferred.
- Strong analytical, problem-solving and stakeholder management skills, with a proactive approach to regulatory risk management.
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