Sr. Manager- Regulatory Compliance (Stock Broking)

Mobikwik; Gurugram District; On-site; INR 4,000,000 - 7,000,000; Full time

Job summary

Mobikwik is seeking a senior compliance leader to ensure end-to-end regulatory adherence for wealth, investment and capital market activities. The role involves monitoring circulars, drafting policies, and coordinating inspections across the organization.

The candidate will guide product and wealth teams on compliant product structures, manage regulatory filings, and maintain governance standards amidst time-sensitive escalations.

Qualifications

• 8+ years in a senior compliance management role.
• Strong knowledge of Fintech, wealth regulations and corporate compliance.
• Proficiency in MS Office tools.
• Excellent project management and leadership capabilities.
• Strong organizational skills.

Responsibilities

• Ensure end-to-end SEBI compliance for wealth management, investment products, and capital markets.
• Monitor regulatory circulars and guidelines from SEBI, RBI and others relevant to the wealth platform.
• Oversee regulatory reporting and filings for timely submissions.
• Design, implement and update compliance policies, SOPs and internal controls.
• Provide advisory support to wealth, investment and product teams on regulatory compliant structures.
• Manage regulatory inspections, audits and internal compliance reviews.
• Track regulatory developments and implement across business processes.
• Ensure adherence to KYC, AML, investor protection and grievance policies.
• Liaise with SEBI, RBI and regulators for clarifications and submissions.
• Monitor customer grievance handling and regulatory timelines.

Skills

Project management

Leadership

Organizational skills

Regulatory knowledge

Communication

Education

University degree in Law or related field

Post-graduate education in compliance and risk management (preferred)

Tools

MS Office

Job description

Role & responsibilities

• Ensure end-to-end compliance with SEBI regulations applicable to Wealth Management, Investment products, and Capital Market activities.

• Monitor and implement regulatory circulars and guidelines issued by SEBI, RBI and other financial regulators relevant to the wealth platform.

• Oversee regulatory reporting and filings to ensure accurate and timely submission to regulators.

• Design, implement and update compliance policies, SOPs, and internal control frameworks aligned with regulatory requirements.

• Provide advisory support to wealth, investment and product teams to ensure regulatory compliant product structures and customer journeys.

• Manage and coordinate regulatory inspections, audits and internal compliance reviews.

• Track regulatory developments related to investment advisory, distribution, portfolio management and capital markets and drive implementation across business processes.

• Ensure adherence to KYC, AML, investor protection and grievance redressal mechanisms as per regulatory norms.

• Liaise with SEBI, RBI and other regulatory bodies for clarifications, regulatory interactions and compliance submissions.

• Monitor customer grievance handling and investor complaints, ensuring resolution within regulatory timelines.

• Support internal teams in risk mitigation, compliance monitoring and regulatory change management.

• Maintain strong governance standards while handling time-sensitive regulatory escalations and compliance issues.

Preferred candidate profile

• University degree in Law or a related field (post-graduate education with a focus on compliance and risk management is preferred)

• 8+ years of experience in a senior compliance management role

• Superior knowledge of Fintech, Wealth regulations and corporate procedures for maintaining compliance

• Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.)

• Excellent project management and leadership skills

• Strong organizational skills