Angel One | Sr. Lead – Compliance

1 day ago

mumbai, India Angel One Full time

About Angel one :


Angel One Limited is a Fintech company providing broking services, margin trading facility, research services, depository services, investment education and distributes third party financial products to its clients, on a mission to become the No. 1 fintech organization in India. With over 2 crore+ registered clients, we are onboarding an average of over 800k new clients every month in the current financial year. We are working to build personalized financial journeys for our clients via a single app, powered by new-age tech, AI, Machine Learning and Data Science.


We have a flat structure, with ample opportunity to showcase your talent and a growth path for you to the very top. We are aggressively hiring for various non-tech and tech roles across India. Join our team and experience the best of both worlds at Angel One Check out our careers section


Why You'll Love Working at Angel One


Ranked Top 25 Companies to Work in India: 🏆We're proud to be recognized as one of the best workplaces, certified for 8 consecutive years.

Innovative Culture: 💡Ideate, innovate, and create cutting-edge fintech solutions with AI and Machine Learning.

Be part of something huge: 🤝 Be at the Forefront of Fintech Innovation

Bold Approach: 💪We're not just growing a customer base; we're unlocking potential, aiming to touch a billion lives. It's about more: more drive, more initiative, and a bolder way of working.

Job Title: Sr. Lead – Compliance (AVP)

Location: Mumbai

What you will do:


This is a pivotal role in the Compliance team at Angel One with a high visibility to senior leadership.

The role shall be responsible for ensuring dissemination of regulations and regulatory guidelines to business and support function and provide ongoing advisory services to ensure that the organisation operates in accordance with all regulatory and legal requirements and internal compliance standards.

The role shall act as principle interface between the organisation and Regulators on all matters related to capital market, manage the relationship with the regulators namely SEBI, NSE, BSE, NCDEX, MCX, CDSL, AML, IRDA authorities etc.




Key Responsibilities:

  • Provide Regulatory Advisory and Advocacy and getting clarity from the Exchanges on regulatory circulars / guidelines and provide the same to various functions in the organisation
  • Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.
  • Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.
  • Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections
  • Handling Regulatory Inspections & Internal Audit Independently
  • Liaison with Regulators
  • Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.
  • Preparing various reports & MIS for Senior Management & Board of Directors
  • Responsible for framing internal policies, procedures, standards, and processes and ensure implementation of the same.
  • Assessing the compliance risks faced by the business and to ensure that the organisation appropriately manages those risks.
  • Overseeing and monitoring the implementation of the compliance program
  • Provide compliance opinions to the functions in the organisation on applicability of regulatory laws in relation to activities of the organisation
  • Promoting a compliance culture
  • Providing guidance, advice, and/or training and educational programs, to improve business' understanding of related laws and regulatory requirements
  • Coordinating and participating in the development of measures aimed at reducing the level of compliance risk. Forming, maintaining and controlling the system of internal control and compliance risk management, system for correction of identified violation
  • Oversee and monitor the Control risks viz. a viz. organisation standards and local regulatory environment, identify breaches and suggest/ implement mitigation measures.
  • Review and regular update of policies and procedures in view of new regulations including compliance manuals.
  • Liase with the Regulatory functions to resolve the issues and queries that organisation may be experiencing.
  • Handle investigations, inspection related matters and provide support to the team handling inspections, investigations, and other regulatory matters.
  • Engage in the Compliance Advocacy on the issues as well as on the consultation papers issued by the Regulators.
  • Provide support to Compliance function to address any issues faced in Regulatory filings and other operational Compliance matters
  • Handle regulatory investigations, queries, and ad-hoc matters along with Legal
  • Lead the team and guide them to perform their duties effectively in this function
  • Act as a back-up for the senior roles in the other Compliance related functions


Who you are:


  • 10-15 years’ experience in core compliance in Stock Broking & Exchange at senior level
  • Excellent interpersonal and communication skills – written and verbal, in English
  • Good Understanding of the Broking Regulations, Knowledge of capital market rules and regulations
  • Knowledge of the PMLA / AML regulations
  • Should be a - self-starter, willing to work in a start-up environment


Key Qualifications & Skills:

  • Experience: 15+ years in insurance, with a proven track record in scaling businesses, growing POSP networks, and increasing gross premium.
  • Industry Expertise: Strong experience in insurer relationship management, product co-creation, and offline distribution models.
  • Skills: Strategic mindset, leadership capabilities, excellent negotiation, stakeholder management, and data-driven decision-making abilities


What's in it for You?

Empowered Growth: 🚀 We invest in your growth and empower you to explore your full potential.

Exceptional Benefits: 🧘‍♀️ Our comprehensive benefits package includes health insurance, wellness programs, learning & development opportunities, and more.


For a deeper dive into our company culture and vision, explore our Company Deck.


At Angel One, our thriving culture is rooted in Diversity, Equity, and Inclusion (DEI).


As an Equal opportunity employer, we wholeheartedly welcome people from all backgrounds irrespective of caste, religion, gender, marital status, sexuality, disability, class or age to be part of our team.


We believe that everyone's unique experiences and viewpoints make us stronger together. Come and be a part of #OneSpace*, where your individuality is celebrated and embraced.

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