Manager, Compliance - Stockbroking

About the role

The Manager, Compliance will be responsible for ensuring adherence to regulatory guidelines and internal policies in the stock broking business. This role involves managing compliance processes, conducting risk assessments, and liaising with regulators to uphold the highest standards of market integrity.

What you'll do

• Oversee day-to-day compliance activities, ensuring alignment with MCX, SEBI,NSE, BSE, CDSL and other regulatory requirements
• Conduct periodic compliance audits and risk assessments to identify gaps and recommend corrective measures
• Collaborate with internal teams to ensure compliance with trading, surveillance, and reporting obligations
• Handle regulatory inspections, inquiries, and ensure timely submission of reports
• Develop and maintain compliance policies, manuals, and training programs for employees

What you need

• 5–8 yrs of experience
• Compliance
• SEBI regulations
• Capital markets
• Any graduate