Compliance Manager

3 weeks ago

Mumbai, Maharashtra, India 5paisa Full time

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:

The Compliance Manager will be responsible for overseeing and implementing the organization's regulatory compliance framework, ensuring adherence to all SEBI, Exchange, and depository regulations across business verticals including Broking, Research Analyst, PMS, and DP operations. This role requires a proactive approach to regulatory intelligence, risk mitigation, and stakeholder alignment.

Key Responsibilities

  • Develop, implement, and manage the company's regulatory compliance policies and programs.
  • Monitor, interpret, and disseminate SEBI, Exchanges, and depository circulars to relevant stakeholders.
  • Ensure timely and accurate submissions of QSBs and regular filings to regulatory bodies.
  • Conduct internal compliance audits and risk assessments to identify and mitigate potential risks.
  • Coordinate with Exchanges, Depositories, and SEBI during inspections and manage timely responses to queries.
  • Liaise with internal auditors, systems/cyber auditors, and external audit teams for end-to-end audit management.
  • Ensure ongoing compliance for all business verticals—Broking, DP, PMS, and Research Analyst licensees.
  • Supervise the regulatory team, enforce TATs, and ensure documentation and submissions are accurate and on time.
  • Update internal policies to align with evolving regulatory guidelines and educate teams through policy rollouts.
  • Provide expert guidance to internal stakeholders on the interpretation and implementation of applicable laws and circulars.

Skills & Qualifications

  • Bachelor's or Master's degree in Law, Finance, or related field
  • 8–12 years of experience in a regulatory compliance role, preferably with a brokerage or capital markets firm
  • Deep understanding of SEBI, NSE/BSE, NSDL/CDSL regulations
  • Experience handling regulatory inspections, audits, and compliance reporting
  • Strong analytical, communication, and stakeholder management skills
  • High attention to detail with a proactive and structured approach to problem-solving

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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