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FINVASIA CAREER

<div><h1 class="jobSectionHeader"><b>Job Description: Senior Manager &ndash; Compliance</b></h1><div></div><div><b><br>
Location:</b> Mohali / Mumbai</div><div><b>
Company:</b> Finvasia</div><div></div><div><b><br>
Position Overview:- </b>The <b>Senior Manager &ndash; Compliance</b> will lead regulatory compliance for Finvasia&rsquo;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.</div><div></div><h2 class="jobSectionHeader"><b><br>
Key Responsibilities</b></h2><h2 class="jobSectionHeader"><b>
Regulatory Compliance &amp; Oversight</b></h2><ul><li>
Interpret and implement new <b>SEBI/Exchange circulars</b>, regulations, and guidelines.</li><li>
Ensure full compliance with <b>SEBI, NSE, BSE, MCX, CDSL/NSDL</b> and other relevant regulatory bodies.</li><li>
Oversee periodic <b>regulatory reporting</b>, filings, and disclosures.</li></ul><h3 class="jobSectionHeader"><b>
Handling Regulatory Inspections &amp; Enquiries</b></h3><ul><li>
Lead end-to-end management of <b>regulatory inspections, audits, exchange alerts, and enquiries</b>.</li><li>
Coordinate internal teams to gather accurate data, respond to regulator queries, and ensure timely closure of observations.</li></ul><h3 class="jobSectionHeader"><b>
Risk Management &amp; Controls</b></h3><ul><li>
Strengthen internal risk controls, compliance frameworks.</li><li>
Identify process gaps, recommend corrective/preventive measures and ensure effective mitigation.</li></ul><h3 class="jobSectionHeader"><b>
Product Compliance &amp; Business Support</b></h3><ul><li>
Provide compliance guidance for <b>new products, new business initiatives, platform enhancements, and trading features</b>.</li><li>
Review process flows, policies, and system changes to ensure regulatory alignment.</li><li>
Support cross-functional teams (Product, Technology, Operations, Risk) with compliance insights.</li></ul><h3 class="jobSectionHeader"><b>
Stakeholder Engagement</b></h3><ul><li>
Respond promptly to compliance-related queries from internal teams, auditors, and regulators.</li><li>
Prepare compliance dashboards, reports, and updates for senior management.</li><li>
Ensure continuous stakeholder education on regulatory developments.</li></ul><h2 class="jobSectionHeader"><b>
Qualifications &amp; Experience</b></h2><ul><li>
Post graduate/professionally qualified with Minimum <b>7 years of experience</b> in <b>stock broking compliance</b>.</li><li>
Strong understanding of <b>SEBI/Exchange regulations</b>, capital market products, and broking processes.</li><li>
Experience managing <b>exchange alerts</b>, inspections, and surveillance matters.</li><li>
Exposure to fintech or technology-led broking platforms is an advantage.</li><li>
Excellent communication, analytical, and stakeholder-management skills.</li></ul></div><div></div>

Senior Manager - Compliance

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FINVASIA CAREER

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Senior Manager - Compliance