Compliance Manager

Raiseholding; Mumbai; Hybrid; INR 900,000 - 1,300,000; Full time

Job summary

Raise Financial Services is seeking an experienced compliance professional to strengthen regulatory compliance across the business in India. The role focuses on SEBI regulations, regulatory audits, policy implementation, regulatory reporting, and governance.

Responsibilities include coordinating audits, liaising with regulators, monitoring compliance of research and investment activities, and developing internal controls.

Qualifications

• Graduate or postgraduate degree in Commerce, Finance, Law, Business Administration, or related discipline.
• Experience in regulatory compliance within financial services, capital markets, securities markets, or regulated fintech.
• Strong understanding of SEBI regulations and compliance requirements, especially for Research Analysts and Investment Advisers.
• Experience in regulatory audits, inspections, compliance monitoring, reporting and documentation.
• Familiarity with investor grievance redressal mechanisms, regulatory submissions, and compliance MIS.
• NISM certifications will be an added advantage.
• Strong regulatory interpretation and compliance management skills.
• Excellent documentation, analytical and reporting capabilities.
• Attention to detail and structured risk identification and resolution.
• Effective stakeholder management and cross-functional coordination.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities and regulatory deadlines.

Responsibilities

• Regulatory compliance: ensure SEBI and related regulations are followed for RAs and IAs.
• Audit & inspection management: coordinate audits, prepare docs, close findings.
• Regulatory liaison: act as contact for authorities and exchanges; manage submissions.
• Compliance monitoring: oversee research, investments, ads, and customer communications.
• Policy & process development: create and implement compliance SOPs and controls.
• Investor grievance management: oversee SCORES and resolve issues.
• Registration compliance: manage filings, renewals, and ongoing obligations.
• Regulatory reporting & MIS: prepare reports, track actions and risks.
• Regulatory updates: track changes and coordinate implementation.
• Stakeholder management: work with business, ops, tech, product and leadership.
• Training & awareness: conduct sessions on regulatory requirements.
• Risk mitigation: identify risks and drive corrective actions.

Skills

SEBI regulations

Regulatory compliance

Audit & inspections

Regulatory reporting

Stakeholder mgmt

NISM certs

Policy development

Documentation

Regulatory liaison

Education

Graduate/Postgraduate in Commerce/Finance/Law

Tools

SCORES portal

Regulatory portals

Job description

Raise is built on this core philosophy, we will bring exceptionally great products, awesome user experience and best-in-class customer service to our users.

We started with our first consumer product, Dhan, an investment and trading platform launched in November 2021. Today, Dhan ranks #8 amongst stock brokers in India and continues to be one of the fastest-growing platforms in the investment and trading ecosystem.

In September 2026, Dhan was also recognised as Fintech Startup of the Year at the Global Fintech Festival, reflecting the innovation, product excellence and customer focus that continue to shape the platform. Backed by a passionate team of builders, believers, designers and problem-solvers, we are building a trusted ecosystem of financial products that empowers millions of users to make smarter financial decisions.

We are looking for an experienced compliance professional to manage and strengthen the regulatory compliance framework across our business. The role will focus on ensuring adherence to applicable SEBI regulations, managing regulatory audits and inspections, implementing compliance policies, monitoring regulatory developments, and maintaining effective governance and reporting practices.

Expected Responsibilities

• Regulatory Compliance: Ensure compliance with applicable SEBI regulations, guidelines, circulars, and other regulatory requirements relevant to the business, particularly those governing Research Analysts (RAs) and Investment Advisers (IAs), wherever applicable.
• Audit & Inspection Management: Coordinate regulatory audits, internal reviews, and onsite or surprise inspections. Prepare documentation, identify compliance gaps, track observations, and ensure timely closure of findings.
• Regulatory Liaison: Act as a point of contact for regulatory authorities and exchanges, managing submissions, clarifications, approvals, and periodic reporting requirements.
• Compliance Monitoring: Monitor business activities, research recommendations, investment strategies, advertisements, and customer-facing communications to ensure adherence to applicable regulatory guidelines.
• Policy & Process Development: Develop, review, and implement compliance policies, standard operating procedures, checklists, and internal controls to strengthen the compliance framework.
• Investor Grievance Management: Oversee investor complaints and grievances through applicable regulatory platforms, including SCORES, and ensure timely resolution and closure.
• Membership & Registration Compliance: Manage registration and post-registration compliance requirements, documentation, approvals, renewals, and ongoing regulatory obligations, as applicable.
• Regulatory Reporting & MIS: Prepare periodic compliance reports, management updates, audit trackers, and MIS reports highlighting key risks, observations, pending actions, and compliance status.
• Regulatory Updates: Track changes in applicable laws, regulations, and circulars, assess their business impact, and coordinate implementation of necessary changes.
• Stakeholder Management: Work closely with business, operations, technology, product, and senior management teams to embed compliance requirements into business processes and systems.
• Training & Awareness: Conduct compliance awareness sessions and provide guidance to employees on regulatory requirements, internal policies, and best practices.
• Risk Mitigation: Identify potential compliance risks, recommend corrective measures, and drive timely resolution of non-compliance issues.

Expected Skills

• Graduate or postgraduate degree in Commerce, Finance, Law, Business Administration, or a related discipline.
• Relevant professional experience in regulatory compliance within financial services, capital markets, securities markets, or a regulated fintech environment.
• Strong understanding of SEBI regulations and compliance requirements, particularly those applicable to Research Analysts and Investment Advisers, wherever relevant.
• Experience in regulatory audits, inspections, compliance monitoring, reporting, and documentation.
• Familiarity with investor grievance redressal mechanisms, regulatory submissions, and compliance MIS.
• Relevant NISM certifications will be an added advantage.
• Strong regulatory interpretation and compliance management skills.
• Excellent documentation, analytical, and reporting capabilities.
• Attention to detail and a structured approach to risk identification and resolution.
• Effective stakeholder management and cross-functional coordination.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities, regulatory deadlines, and time‑sensitive deliverables.
• High standards of integrity, accountability, and professional judgment.

We are a start‑up organization focused on fast growth with quality products; hence, the ability to work in a fast‑paced environment goes without saying!

Our People & Culture

• Be super obsessed about ensuring customer satisfaction.
• (We are here because of our customers, and will be here only if we serve our customers)
• We have a single opportunity to serve.
• (Our customers will give us one opportunity to serve - we can’t let them down. Be it product, uptimes, customer service or any interaction we have to deliver a wow experience.)
• Respect your work, your team, your co‑workers and our customers.
• (The only way to get respect is to give it first)
• Speed is all that matters. Ship right and ship faster.
• (You either help the team move ahead fast, or you slow it down. We prefer the first.)
• Humility & politeness over arrogance & over-confidence.
• (If you are the smartest one in the room, bring up others to speed. We are here to serve our customers, not to prove a point.)
• Quality over quantity.
• (It is fine if you pick up a few things to do, but do them exceedingly well.)
• Make your hands dirty irrespective of who you are.
• (Our CEO responds to customers every day. Our CTO codes every day. This is us.)
• Talent and Competency over Credentials.
• Entreprenuer, ownership driven and disciplined.
• (We trust you to help us gain and retain the trust of our customers and our stakeholders)
• Less words, more action.
• (Believe in something? show it by doing things. Not just by talking about it)
• Flat hierarchy with open culture & conversations.
• (You are among all of us, and we all are with you)
• Passionate about the business you are a part of.
• (Do it because you are passionate about it, not because it’s your job.)
• Raise is an equal opportunity employer.
• (We celebrate diversity and inclusion.

Why Join Raise

We’ve been recognised as a Great Place to Work for three consecutive years, reflecting the culture we’ve built and the way we work together. At Raise, you’ll experience a flat hierarchy, open conversations, high ownership and a strong bias for action. We value people who bring passion, humility and curiosity to their work, and who care deeply about building great products and creating meaningful customer impact.

We believe in growth with ownership, speed with thoughtfulness and ambition with humility. We celebrate wins, learn from challenges and give people the ownership and responsibility to build and make an impact. If you enjoy building from the ground up, working with passionate people, and being part of a high‑growth fintech ecosystem, Raise offers an environment where you can do meaningful work and grow with the business.

About Raise Financial Services

Raise Financial Services is building technology‑led financial products and infrastructure for India’s financially aware and digitally savvy consumers.

Our ecosystem spans multiple aspects of financial services, with Dhan as our flagship investment and trading platform. Alongside Dhan, we are building and scaling businesses across the financial ecosystem, including Millions, Upsurge, Filter Coffee, Stratzy, Pluto Insurance, Fuzz and several other emerging products and platforms.

Our ambition is to build a trusted ecosystem of financial products and experiences that make investing, trading, wealth creation and other financial services simpler, smarter and more accessible

Our philosophy is simple

• Build great products.
• Deliver awesome experiences.
• Provide exceptional customer service.

Explore More

• Connect with us: www.raiseholding.co
• Learn more about our Investing & Trading Platform – www.dhan.co
• Follow our Instagram page #LifeatRaise for a glimpse into our people and latest culture happenings.

Required Skills

MIS Investor Grievance Audit Inspection Exchange portal Risk Mitigation Broking Compliance SEBI Compliance Reporting Compliance