Specialist- Regulatory Compliance - Broking - Mumbai Office

Angel One; Mumbai; On-site; INR 700,000 - 1,200,000; Full time

Benefits offered by this job

Health insurance

Wellness programs

Learning & development opportunities

Job summary

Angel One is a leading Indian fintech in Mumbai seeking a Specialist - Compliance to strengthen our regulatory framework and ensure steadfast adherence to exchange and SEBI guidelines. You will coordinate KYC/AML processes, contribute to policy updates, and support internal stakeholders with timely compliance handling.

The role suits someone with stock broking experience, a background in CSDL/CKYC/KRA compliance, and an LLB.

Qualifications

• Stock broking industry experience is required.
• Knowledge of CSDL, CKYC and KRA compliance.
• LLB degree is mandatory.

Responsibilities

• Plan, execute and report compliance assurance reviews for policy lines and functions.
• Liaise with Exchanges on a day-to-day basis.
• Manage inspections by Exchanges, Depositories and SEBI.

Skills

KYC compliance

Regulatory compliance

Stock broking industry knowledge

Education

LLB

Tools

CKYC

CSDL

KRA compliance

Job description

About Angel One:

Angel One is one of Indias fastest growing fin-techs, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact.

Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We are working to build personalized financial journeys for our clients, powered by new-age tech, AI, Machine Learning and Data Science.

We're a builder's company at heart. Youll have the space to experiment, the freedom to move with velocity, and the mandate to make bold, user-first decisions every single day.

The vibe? Think less hierarchy, more momentum. Everyone has a seat at the table and a shot to build something that lasts.

Be part of a team thats scaling sustainably, thinking big, and building for the next billion.

Why You'll Love Working at Angel One!

• Tech Systems that run at Scale: From AI to real-time data infra, youll work on tech thats ahead of the curve and solve problems that truly matter.
• Build one of India’s Leading Fintech Platform: We’re not just disrupting finance – we’re shaping how billion Indians access wealth.
• Own It. Drive It. Scale It: You’ll have the freedom to lead, the resources to build, and the opportunity to leave your mark.
• Empowered Growth: We invest in your growth and empower you to explore your full potential.
• Exceptional Benefits: Our comprehensive benefits package includes health insurance, wellness programs, learning & development opportunities, and more.

Role: Specialist - Compliance

Location: Mumbai

What you will do

• Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
• Liaisoning with Exchanges on everyday basis
• Managing Inspections carried out by Exchanges, Depositories and SEBI
• Managing internal audits of Depositories and Exchanges
• Submission of Enhanced supervision data and other Exchange reporting in a timely manner
• KYC Compliance and monitoring of compliance functions
• Preparation and submission of Period QSB related to compliance to the exchange and Depository
• Timely reviewing and updating Policies and procedures in line with Exchange guidelines
• Evaluating new regulatory guidelines /circulars and implementation
• Preparation and submission of MIS and status reports
• Handling Exchange Off‑site alerts and coordination with the internal stakeholders.
• Assisting internal stakeholders for various compliance queries

Who you are:

• Should be from Stock Broking Industry
• Well versed with CSDL,CKYC and KRA Compliance
• Should be LLB

At Angel One, our thriving culture is rooted in Diversity, Equity, and Inclusion (DEI).

As an Equal opportunity employer, we wholeheartedly welcome people from all backgrounds irrespective of caste, religion, gender, marital status, sexuality, disability, class or age to be part of our team. We believe that everyone's unique experiences and viewpoints make us stronger together. Come and be a part of #OneSpace*, where your individuality is celebrated and embraced