AVP - Regulatory Compliance

About Angel One:

Angel One is one of India''s fastest growing fin-techs, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact.

Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We are working to build personalized financial journeys for our clients, powered by new-age tech, AI, Machine Learning and Data Science.

We're a builder's company at heart. Youll have the space to experiment, the freedom to move with velocity, and the mandate to make bold, user-first decisions – every single day.

The vibe? Think less hierarchy, more momentum. Everyone's got a seat at the table and a shot to build something that lasts.

Be part of a team that's moving fast, thinking big, and building for the next billion.

Why You'll Love Working at Angel One

• Ranked Top 20 Companies to Work in India: We're proud to be recognized as one of the best workplaces, certified for 9 consecutive years.
• Innovation Runs Deep: From AI to real-time data infra, you'll work on tech that's ahead of the curve and solve problems that truly matter.
• Build India's #1 Fintech Platform: We're not just disrupting finance – we're shaping how the next billion Indians access wealth.
• Own It. Drive It. Scale It: You'll have the freedom to lead, the resources to build, and the opportunity to leave your mark.

Job Title: AVP - Regulatory Compliance

Location: Mumbai

The AVP - Regulatory Compliance will oversee the compliance framework across multiple financial services verticals including Stock Broking, Depository Participant (DP), Portfolio Management Services (PMS), Investment Advisory (IA), Research Analyst (RA), and Mutual Fund Distribution (MFD).

The role ensures adherence to all applicable regulatory requirements and promotes a strong culture of compliance and governance.

What you will do:

Regulatory Compliance:

• Ensure compliance with SEBI, NSE, BSE, NSDL, CDSL, AMFI, and RBI regulations.
• Monitor regulatory updates and implement necessary changes.
• Prepare and submit statutory reports, disclosures, and returns.
• Maintain regulatory correspondence and inspection readiness.

Internal Compliance Monitoring:

• Conduct internal audits and compliance reviews.
• Identify and mitigate compliance risks across business units.
• Maintain compliance dashboards and escalate issues as needed.

Policy & Process Management:

• Draft and update compliance policies, SOPs, and manuals.
• Ensure operational alignment with regulatory expectations.
• Implement and monitor risk-based compliance frameworks.

Training & Awareness:

• Conduct regular compliance training and awareness programs.
• Foster a culture of ethical conduct and regulatory discipline.

Liaison & Coordination:

• Act as the primary liaison for regulatory inspections and audits.
• Coordinate with internal departments for compliance-related matters.
• Respond to regulatory queries and notices in a timely and accurate manner.

Who you are:

• Preferred Qualifications: Chartered Accountant (CA), Company Secretary (CS), or Bachelor of Laws (LLB).
• Experience: Minimum 10 years of relevant experience in compliance roles within capital markets, preferably across multiple verticals such as Stock Broking, DP, PMS, IA, RA, and MFD.
• Certifications: NISM Certifications (Series IIIA VI, VII).

What's in it for You?

• Flexible work model: Whether you're remote, hybrid, or in-office, we trust you to work where you thrive and deliver with impact.

• 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.

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..