Compliance Manager

About the role

Raise is built on this core philosophy, we will bring exceptionally great products, awesome user experience and best-in-class customer service to our users. We started with our first consumer product, Dhan, an investment and trading platform launched in November 2021. Today, Dhan ranks #8 amongst stock brokers in India and continues to be one of the fastest-growing platforms in the investment and trading ecosystem.

What you'll do

• Audit & Inspection Management: Coordinate regulatory audits, internal reviews, and onsite or surprise inspections
• Prepare documentation, identify compliance gaps, track observations, and ensure timely closure of findings
• Membership & Registration Compliance: Manage registration and post-registration compliance requirements, documentation, approvals, renewals
• Training & Awareness: Conduct compliance awareness sessions and provide guidance to employees on regulatory requirements, internal policies, and best practices

What you need

• 5–10 yrs of experience
• Compliance
• SEBI regulations
• Documentation
• MIS reporting
• Capital markets
• Complaint handling
• B.Com or BBA or MBA or M.Com

Good to have

• Regulatory affairs
• SOP writing
• Internal controls