Compliance and Governance Specialist
7 days ago
About us: 5paisa Capital Ltd. stands at the forefront of India's fintech revolution, offering a comprehensive digital platform for retail investors and traders. With a commitment to democratizing financial services, 5paisa provides a suite of products including Stocks, Futures & Options, Mutual Funds, IPOs, all accessible through user-friendly mobile applications and web platforms. Today 5paisa is a go-to platform for serious traders and investors. Role Overview: We are seeking a proactive Compliance Manager to oversee regulatory reporting, membership compliance, and governance across Exchanges, Depositories, and SEBI. If you excel at detailed submissions and regulatory coordination, this role lets you uphold strong compliance standards and ensure smooth regulatory operations. What You’ll Do: Regulatory Reporting & Submissions: - Manage periodic and incidental submissions to Exchanges and Depositories, including regulatory, cyber, audit, risk, and compliance reports. - Ensure timely reporting and resolution of technical glitches. - Oversee monthly, quarterly, half-yearly, and annual QSB submissions. Membership Compliance & Regulatory Correspondence: - Handle SEBI, Exchange, and Depository correspondences related to membership compliance. - Manage changes and renewals (Compliance Officer, Directors, Shareholding, KMP, office address, etc.) - Coordinate issuance of certificates, renewals of licenses/insurance, and submission of product approval documents. - Prepare undertakings for opening/closing bank accounts. Governance, Circulars & Documentation Management: - Issue internal circulars and maintain MIS for tracking and implementation. - Maintain documentation and audit trails for all regulatory and internal compliance actions. Advertisement Review & Regulatory Approvals: - Review all marketing advertisements for regulatory compliance. - Liaise with Exchanges to obtain necessary approvals and resolve observations or queries raised by regulators promptly. Risk & Audit Coordination: - Maintain audit records, track observations, and drive closure of compliance gaps. - Coordinate Cyber Audits, System Audits, VAPT assessments, and ensure compliance with all mandated risk frameworks. What You’ll Need: - Bachelor’s/ Master’s degree in Law, Finance, Commerce, or related field. - 4–5 years of experience in regulatory compliance within financial services or broking. - Strong understanding of SEBI, Exchanges (NSE/BSE), and Depositories (CDSL/NSDL). - Experience in regulatory reporting, membership compliance, and audit coordination. - Excellent communication skills and strong attention to detail. - Ability to work effectively with cross-functional teams. Why Join Us? This isn’t just another job. It’s a front-row seat to the future of finance — and you’re invited. We value diversity in all its forms — backgrounds, perspectives, experiences — and are committed to building an inclusive environment where every employee feels respected, heard, and empowered to grow. We do not discriminate based on race, religion, caste, color, gender identity or expression, sexual orientation, age, marital status, disability, or any other legally protected status. Our hiring decisions are based on merit, capability, and alignment with our values — always.
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