Senior Manager

1 day ago

Mohali, Punjab, India FINVASIA CAREER Full time ₹ 15,00,000 - ₹ 55,00,000 per year
Job Description: Senior Manager – Compliance

Location: Mohali / Mumbai

Company: Finvasia

Position Overview:- The Senior Manager – Compliance will lead regulatory compliance for Finvasia's stock broking operations. The role requires a deep understanding of SEBI and Stock Exchange regulations, strong analytical skills, and the ability to proactively manage regulatory risks in a high-growth fintech environment.

Key Responsibilities
Regulatory Compliance & Oversight
  • Interpret and implement new SEBI/Exchange circulars, regulations, and guidelines.
  • Ensure full compliance with SEBI, NSE, BSE, MCX, CDSL/NSDL and other relevant regulatory bodies.
  • Oversee periodic regulatory reporting, filings, and disclosures.
Handling Regulatory Inspections & Enquiries
  • Lead end-to-end management of regulatory inspections, audits, exchange alerts, and enquiries.
  • Coordinate internal teams to gather accurate data, respond to regulator queries, and ensure timely closure of observations.
Risk Management & Controls
  • Strengthen internal risk controls, compliance frameworks.
  • Identify process gaps, recommend corrective/preventive measures and ensure effective mitigation.
Product Compliance & Business Support
  • Provide compliance guidance for new products, new business initiatives, platform enhancements, and trading features.
  • Review process flows, policies, and system changes to ensure regulatory alignment.
  • Support cross-functional teams (Product, Technology, Operations, Risk) with compliance insights.
Stakeholder Engagement
  • Respond promptly to compliance-related queries from internal teams, auditors, and regulators.
  • Prepare compliance dashboards, reports, and updates for senior management.
  • Ensure continuous stakeholder education on regulatory developments.
Qualifications & Experience
  • Post graduate/professionally qualified with Minimum 7 years of experience in stock broking compliance.
  • Strong understanding of SEBI/Exchange regulations, capital market products, and broking processes.
  • Experience managing exchange alerts, inspections, and surveillance matters.
  • Exposure to fintech or technology-led broking platforms is an advantage.
  • Excellent communication, analytical, and stakeholder-management skills.

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