Compliance Professional

Neo Wealth Management; Mumbai; On-site; INR 4,000,000 - 7,000,000; Full time

Job summary

Neo Wealth Management in Mumbai is seeking a seasoned Compliance Professional with 12-15 years of experience in financial services to oversee SEBI-regulated businesses and drive risk controls.

You will monitor regulatory changes, conduct reviews, and coordinate with Operations, Risk, and Legal to ensure policy adherence across DP, Broking, Distribution, Investment Advisory and Research functions.

Qualifications

• 12-15 years of compliance experience in Wealth Management, Broking, Capital Markets or Financial Services.
• Strong knowledge of SEBI, NSE, BSE, NSDL, CDSL regulations and guidelines.
• Experience conducting reviews, audits and risk assessments plus closure of observations.
• Ability to review policies, SOPs, client documentation, disclosures and regulatory filings.

Responsibilities

• Manage compliance across DP, Broking, Distribution, Investment Advisory and Research Analyst businesses.
• Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL and other applicable regulatory requirements.
• Monitor regulatory changes and ensure timely implementation across business functions.
• Conduct compliance reviews, audits and risk assessments and drive closure of observations.
• Review policies, SOPs, client documentation, disclosures and regulatory filings.
• Support regulatory inspections and manage interactions with regulators, exchanges and depositories.
• Partner with Business, Operations, Risk and Legal teams to provide practical compliance guidance.
• Identify potential compliance risks and proactively recommend corrective measures

Skills

Self-starter

Problem solving

Analytical skills

Stakeholder management

Regulatory knowledge

Capital markets knowledge

Fast-paced

Business/regulatory balance

Education

Graduate or Postgraduate in Finance/Commerce/Law

NISM certifications preferred

Job description

Role Overview:

We are looking for a seasoned Compliance Professional with 12-15 years of experience in the financial services/wealth management industry, with strong exposure to multiple SEBI-regulated businesses.

Key Responsibilities:

• Manage compliance across DP, Broking, Distribution, Investment Advisory and Research Analyst businesses.
• Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL and other applicable regulatory requirements.
• Monitor regulatory changes and ensure timely implementation across business functions.
• Conduct compliance reviews, audits and risk assessments and drive closure of observations.
• Review policies, SOPs, client documentation, disclosures and regulatory filings.
• Support regulatory inspections and manage interactions with regulators, exchanges and depositories.
• Partner with Business, Operations, Risk and Legal teams to provide practical compliance guidance.
• Identify potential compliance risks and proactively recommend corrective measures

Key Attributes:

• Self-starter with the ability to work independently and take ownership.
• Strong problem-solving and analytical skills with attention to detail.
• Proactive approach to identifying and mitigating compliance risks.
• Strong stakeholder management and communication skills.
• Ability to operate effectively in a fast-paced, dynamic environment.
• Ability to balance business requirements with regulatory expectations.
• 12-15 years of relevant compliance experience in Wealth Management / Broking / Capital Markets / Financial Services.
• Strong working knowledge of SEBI regulations and applicable exchange/depository guidelines.
• Proven experience across DP, Broking, Distribution, Investment Advisory and Research Analyst.
• Graduate/Postgraduate in Finance, Commerce, Law or related field. NISM certifications preferred.