Compliance Manager - Stock Broking

Taglynk; Gandhinagar; On-site; INR 1,200,000 - 2,400,000; Full time

Job summary

Taglynk seeks a compliance professional to lead end-to-end regulatory life cycle from product development to real-time surveillance and reporting. This role combines regulatory acumen with hands-on analysis and a product-first mindset.

You will review marketing collateral, liaise with NSE/BSE/MCX for advertising approvals, and ensure adherence to SEBI codes. Manage audits, inspections, and timely compliance across product, tech, and operations.

Qualifications

• Strong knowledge of SEBI regulations and stock exchange bylaws.
• Hands-on regulatory compliance, reporting, audits, and inspections.
• Experience with PMLA, AML/KYC processes and regulatory reporting.
• Ability to independently manage compliance activities and projects.

Responsibilities

• Review and sign-off on marketing collateral, social content, and app notifications.
• Liaise with NSE/BSE/MCX for advertising approvals and SEBI code adherence.
• Track SEBI and exchange circulars and disseminate impact analyses.
• Oversee audits, inspections, and timely submission of responses.

Skills

Regulatory compliance

SEBI regulations

AML/KYC

Audit coordination

Product compliance

Education

CA/CS/MBA/Finance/Commerce

Job description

You will be responsible for the end-to-end compliance lifecycle, from product development and marketing approvals to real-time surveillance and regulatory reporting. This is a hands‑on role requiring a mix of regulatory expertise, analytical rigour, and a product‑first mindset.

What You Will Do

• Advertisement & Marketing Approval: Review and provide compliance sign‑off on all marketing collateral, social media content, and app notifications.
• Liaise with Stock Exchanges (NSE/BSE/MCX) for prior approval of advertisements and ensure adherence to the latest SEBI Code of Advertisement.

Regulatory Intelligence (Circular Management)

• Daily tracking of SEBI and Exchange circulars.
• Interpret and disseminate impact analysis to relevant departments such as Product, Tech, and Operations.
• Drive implementation of new guidelines within specified timelines.
• Monitor and resolve real‑time surveillance alerts to detect and report suspicious trading patterns or market abuse.
• Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow.

Audits & Inspections

• Manage and coordinate Internal Audits, System Audits, and Concurrent Audits.
• Act as the primary point of contact for SEBI/Exchange inspections, ensuring data accuracy and timely submission of responses.

Reporting & Filings

• Ensure 100% adherence to the Compliance Calendar covering daily, monthly, quarterly, and annual filings.
• Monitor the investor grievance redressal system (SCORES/internal) and drive prompt resolution.

Product Compliance

• Perform Pre‑Prod Audits on new features such as F&O, MTF, SIP, etc., to ensure they meet the Compliant‑by‑Design standard.
• Provide sign‑off on control testing reports before any feature goes live.

What You Should Have

Mandatory / Core Requirements

• Experience: 4–8 years of relevant experience, preferably in Stock Broking Compliance.
• Strong understanding of SEBI regulations, Stock Exchange requirements, and Exchange bylaws.
• Hands‑on experience with regulatory compliance, reporting, audits, and inspections.
• Strong exposure to NSE/BSE/MCX regulatory requirements.
• Good understanding of PMLA, AML/KYC and regulatory reporting.
• Ability to independently manage compliance activities and projects.
• Strong analytical and problem‑solving skills.
• Ability to work closely with Product, Tech, Operations, and other business teams.
• Qualification: CA/CS/MBA/Finance/Commerce or a relevant professional qualification.

Good to Have

• Prior experience with SEBI.
• Experience in Fintech/Digital Broking.
• NISM certifications.
• Experience with Advertisement/Marketing approvals with Stock Exchanges.
• Experience with Product Compliance / Compliant‑by‑Design frameworks.
• Exposure to real‑time surveillance and market abuse monitoring.
• Experience handling SEBI/Exchange inspections independently.
• Experience across multiple jurisdictions or regulatory frameworks.