Senior Manager
3 days ago
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 ResponsibilitiesRegulatory 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.
- 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.
- Strengthen internal risk controls, compliance frameworks.
- Identify process gaps, recommend corrective/preventive measures and ensure effective mitigation.
- 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.
- 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.
- 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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