Compliance Manager

Incred; Mumbai; On-site; INR 1,500,000 - 2,500,000; Full time

Job summary

InCred Markets is seeking a Compliance Manager to safeguard regulatory integrity across Stock Broking, PMS, MF, AIF and Insurance product lines. You will draft governance policies, automate processes, and ensure scalable governance as we grow.

The role requires CS/CA/MBA with 4–5 years in capital markets compliance, strong SEBI knowledge, and excellent drafting skills to simplify complex regulations for internal stakeholders.

Qualifications

• CS/CA/MBA with 4–5 years of capital markets compliance experience.
• Strong knowledge of SEBI, exchange and depository regulations.
• Ability to draft policies and implement governance frameworks.
• Proficient in preparing regulatory filings and reports.

Responsibilities

• Oversee multi-entity regulatory compliance across NSE, BSE, MCX, NCDEX, CDSL, NSDL.
• Draft governance policies and implement KYC/documentation aligned with guidelines.
• Lead PMLA surveillance and investor grievance handling.
• Coordinate with regulators, exchanges, and internal teams for timely filings.

Skills

Regulatory compliance

Policy drafting

Risk management

Stakeholder management

Communication

Education

CS / CA / MBA

Job description

Role Overview

The Compliance Manager will be a key guardian of InCred Markets regulatory integrity. This role is designed for a proactive professional who can manage a multi-asset compliance frameworkcovering everything from Stock Broking and PMS to Insurance and Third-Party products. You will not just act as "check box", but will be instrumental in drafting policies, automating processes, and ensuring our rapid scaling remains anchored in robust governance.

Key Responsibilities

1. Multi-Entity Regulatory Oversight

• End-to-End Compliance: Oversee compliance for Stock Broking, Commodity Broking, and Depository operations across NSE, BSE, MCX, NCDEX, CDSL, and NSDL.
• Diverse Product Suite: Manage regulatory requirements for third-party financial products, including Mutual Funds (MF), Portfolio Management Services (PMS), Alternative Investment Funds (AIF), and Fixed Deposits (FD).
• Specialized Domains: Ensure adherence to Research Analyst regulations, Insider Trading norms, and Corporate Agency (Insurance) compliance.

2. Policy & Process Excellence

• Circular Implementation: Monitor and analyse new regulatory circulars, preparing concise gist’s and driving implementation across relevant departments.
• Framework Drafting: Develop and implement governance policies and KYC documentation aligned with the latest prevailing guidelines.
• Compliance Health Checks: Conduct rigorous internal reviews of activities, forms, and processes to ensure ongoing regulatory health.

3. Surveillance & Risk Mitigation

• PMLA Oversight: Manage Anti-Money Laundering (PMLA) surveillance alerts and ensure the regular update of PMLA policies.
• Investor Grievance: Maintain a robust mechanism for handling and resolving investor grievances in line with regulatory expectations.
• Audit Management: Act as the primary liaison for Internal Auditors and Inspection Teams, ensuring data integrity and verification before submission.

4. Stakeholder & Regulatory Liaison

• External Relations: Represent the firm in interactions with Exchanges, Depositories, and Regulatory Officials, preparing detailed replies to queries.
• Cross-Functional Support: Act as a subject matter expert for other departments, providing technical compliance guidance and resolving operational queries.
• Reporting: Ensure the accuracy and timeliness of all periodical returns and regulatory filings.

Qualifications & Experience

• Professional Background: CS, CA, or MBA with 4–5 years of relevant experience in Capital Markets compliance.
• Domain Expertise: Strong understanding of SEBI, Exchange, and Depository regulations.
• Tech-Forward Mindset: Ability to identify improvement areas and opportunities for automation within the compliance function.
• Communication: Sharp drafting skills and the ability to simplify complex regulatory language for internal business stakeholders.

Soft Skills

• Agility: Comfortable in a "growing" organization where processes are evolving and scaling.
• Attention to Detail: A high degree of accuracy in data verification and regulatory reporting.
• Collaborative: A partnership-oriented approach to working with business and infrastructure teams.