Details of the Organization

5paisa Capital Ltd. is at the forefront of India's fintech transformation, delivering a powerful, tech-driven platform that empowers retail investors and traders. 

Details of the Job/Internship

5paisa Capital Ltd. is Compliance Manager with 8-12 years of experience to join their office in Mumbai. 

Role and Responsibilities

• Develop, implement, and maintain a robust regulatory compliance framework aligned with SEBI and Exchange guidelines.
• Monitor and interpret regulatory circulars from SEBI, Exchanges, and Depositories; ensure timely dissemination and implementation across relevant departments.
• Prepare and oversee accurate and timely submissions of all regulatory filings, including QSBs and other periodic reports.
• Conduct internal audits, gap analyses, and risk assessments to strengthen compliance posture and mitigate potential regulatory risks.
• Liaise with SEBI, Exchanges, Depositories, and auditors during inspections, audits, and inquiries, ensuring efficient coordination and timely response.
• Lead regulatory compliance for all business verticals—Broking, PMS, DP, and Research Analyst—ensuring license and operational adherence.
• Supervise the compliance team, enforce turnaround times (TATs), and ensure the integrity and timeliness of all regulatory documentation.
• Update internal policies and SOPs in line with evolving regulatory requirements; conduct training sessions to enhance compliance awareness across the organization.
• Advise business and operational teams on the practical implementation of regulatory changes and legal interpretations.

Eligibility

• Bachelor’s or Master’s degree in Law, Finance, or a related field.
• 8–12 years of experience in compliance roles within a brokerage, depository participant, or capital markets organization.
• In-depth knowledge of SEBI, NSE/BSE, NSDL, and CDSL regulations and reporting frameworks.
• Hands-on experience managing regulatory inspections, audits, and compliance documentation.
• Excellent analytical, organizational, and stakeholder management skills.
• High attention to detail with a proactive and structured approach to issue resolution and risk mitigation.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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