Compliance Manager

Raise Financial Services; Mumbai; Presencial; INR 800.000 - 1.200.000; Jornada completa

Descripción de la vacante

Raise Financial Services in Mumbai seeks an experienced compliance professional to strengthen the regulatory framework across the business. You will ensure adherence to SEBI regulations, manage regulatory audits and inspections, and implement robust compliance policies and reporting practices.

The role includes overseeing investor grievance mechanisms, regulatory submissions, and cross-functional collaboration with operations, technology, and product teams to embed compliance into processes.

Formación

• Experience in regulatory compliance within financial services or fintech environments.
• Strong knowledge of SEBI regulations and compliance requirements.
• Familiarity with investor grievance redressal mechanisms and regulatory MIS.
• NISM certifications are a plus.
• Excellent documentation, analytical, and reporting skills.

Responsabilidades

• Ensure compliance with SEBI regulations, guidelines, and circulars relevant to the business and roles like Research Analysts and Investment Advisers.
• Coordinate regulatory audits, inspections, and reviews; prepare documentation and close findings.
• Serve as a liaison with regulators and exchanges for submissions, clarifications, approvals, and reporting.
• Monitor business activities, investments, and communications to ensure regulatory adherence.
• Develop, implement, and document policies, SOPs, and internal controls.

Conocimientos

Regulatory compliance

SEBI regulations

Audit management

Regulatory reporting

Stakeholder management

Documentation

NISM certification

Investor grievances

MIS reporting

Policy development

Educación

Graduate/Postgraduate degree (Commerce/Finance/Law/Management)

Descripción del empleo

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

People and culture are the most important aspects of our business.

We Are Looking For Team Members Just Like Us, In Simple Words - Good People To Work With And Demonstrate Following Personality Traits

• Be super obsessed about ensuring customer satisfaction.

(We are here because of our customers, and will be here only if we serve our customers)