Compliance Manager

6 days ago

Mumbai, Maharashtra, India D C Sejpal & Co Full time ₹ 20,00,000 - ₹ 25,00,000 per year

Role Overview:

This is a leadership position for a compliance expert to build, own, and lead the compliance function at a fast-growing, technology-driven stock broking firm. You will design systems and processes from inception, champion automation, and develop a talented compliance team to proactively address the evolving regulatory landscape.

Key Responsibilities

  • Take ownership of the entire compliance function design, develop, and implement policies, workflows, and systems, ensuring a robust compliance architecture from the ground up.
  • Lead product management of compliance automation tools to reduce manual intervention in repetitive control and regulatory tasks.
  • Maintain clear, concise, and effective communication with internal teams, external partners, and regulators for data needs, regulatory submissions, and reporting.
  • Excel in a start-up environmentmanage tight deadlines, shifting priorities, and ambiguous problem statements while maintaining regulatory discipline.
  • Daily exchange fund/securities settlements, margin requirements, pay-in/pay-out procedures, and reconciliations in accordance with ICCL and other exchanges.
  • Maintain strong industry networks to stay informed on SEBI and exchange circulars, amendments, and notifications; ensure timely implementation.
  • Evaluate and oversee third-party vendors (back-office software, insurance, etc.) essential for fulfilling regulatory requirements.
  • Prepare and guide for internal and external audits (IAR), regulatory inspections, and submission of required data and reports.
  • Advanced operations handling CDSL DP System (EASIEST, CDAS), pledge creation for margins, reconciliations, and use of leading back-office software (Korp, Shilpi, LD, TechExcel etc.).
  • Oversee KRA, CKYC, UCC uploads, and ensure timely and accurate onboarding.
  • Ensure compliance with cybersecurity, insurance norms, and certificate submissions as required under half-yearly and periodic returns.
  • Drafting of Standard Operating Procedures, Policy framework, Agreements/ Contracts with third-party vendors, distributors and service providers, Privacy Policies and Disclaimers etc.

Required Experience & Skills

  • Experience: 8-12 years in broking compliance with proven track record in SEBI/Exchange regulations.
  • Exchange Operations: Deep expertise in ICCL Fund settlements, margin & pay-in/pay-out process.
  • Regulatory Liaison: Established relationships with exchanges, depositories, and an active industry network.
  • Systems Mastery: Proficiency in industry-leading back-office software and CDSL DP Systems (EASIEST/CDAS).
  • Audit & Reporting: Experience supporting audits, inspections, and regulatory submissions.
  • Vendor Knowledge: Awareness of regulatory vendors for back-office/Cyber/Insurance.
  • Regulatory Compliance: Mastery over SEBI, BSE/NSE, CDSL/NSDL regulations and circulars.
  • Certifications: Mandatory NISM 3A (Compliance), additional NISM modules for Cash, F&O, Currency, Commodities strongly preferred.
  • Leadership: Demonstrated ability to lead teams and contribute strategically.

Preferred Attributes

  • Excellent analytical, problem-solving, and interpersonal skills.
  • Strong initiative, ownership mentality, and decision-making abilities.
  • Ability to thrive in high-pressure, deadline-driven, and dynamic start-up settings.

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