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Compliance Expert for Fintech Innovation
1 week ago
The Role of a Lifetime:
We are seeking a seasoned Compliance professional to join our team at Angel One, a pioneering fintech company revolutionizing the Indian broking services landscape. As Sr. Lead - Compliance, you will be instrumental in ensuring that our organization operates in accordance with all regulatory and legal requirements.
About Angel One:
Angel One Limited is a fintech powerhouse providing cutting-edge broking services, margin trading facilities, research services, depository services, investment education, and distributes third-party financial products to its clients. With over 2 crore+ registered clients and an average onboarding of 800k new clients every month, we're on a mission to become India's No.1 fintech organization. Our flat structure allows ample opportunities for showcasing your talent and growth paths to the top.
Why You'll Love Working at Angel One:
Ranked Top 25 Companies to Work in India, certified for 8 consecutive years; Innovative Culture where ideation, innovation, and creation of cutting-edge fintech solutions with AI and Machine Learning thrive; Be part of something huge: At the Forefront of Fintech Innovation, Bold Approach unlocking potential, touching a billion lives. It's about drive, initiative, and a bolder way of working.
Key Responsibilities:
- Provide Regulatory Advisory and Advocacy; get clarity from Exchanges on regulatory circulars/guidelines and disseminate to various functions;
- Review and define processes for implementation of circulars issued by Exchanges, Depositories, SEBI;
- Day-to-day query handling related to regulatory areas;
- Conduct audit/review of activities for Broking, DP, PMS & Branch inspections;
- Handle Regulatory Inspections & Internal Audit Independently;
- Liaison with Regulators;
- Ensure timely & accurate regulatory submission to exchanges, Depositories, etc.
- Prepare reports & MIS for Senior Management & Board of Directors;
- Frame internal policies, procedures, standards, and processes;
- Assess compliance risks faced by business and manage those risks;
- Oversee implementation of compliance program;
- Provide compliance opinions to functions on applicability of regulatory laws;
- Promote compliance culture;
- Provide guidance, advice, and/or training programs;
What You Need:
- 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 Broking Regulations, knowledge of capital market rules and regulations;
- Knowledge of PMLA/AML regulations;
What We Offer:
A competitive salary of ₹20 lakhs per annum, a comprehensive benefits package including health insurance, wellness programs, learning & development opportunities, and more; Empowered Growth: We invest in your growth and empower you to explore your full potential.