Details of the Organization

Shoonya brings a new meaning to financial progress by combining trust, transparency and market tools to give our investors and traders a seamless experience. 

Details of the Job/Internship

Shoonya is hiring for the position of Head of Compliance with 15+ years of experience to join their office in Mumbai.

Role and Responsibilities

Leadership & Compliance Strategy

• Spearhead the compliance team, aligning operations with regulatory standards and business goals.
• Develop and execute robust compliance policies, procedures, and monitoring frameworks.

Regulatory Oversight & Inspections

• Manage inspections and audits from SEBI, NSE, BSE, MCX, CDSL, and internal stakeholders.
• Ensure audit readiness and accurate, timely submissions and responses to regulators.

Regulatory Intelligence & Implementation

• Stay abreast of circulars and regulatory updates from SEBI, RBI, stock exchanges, and depositories.
• Lead internal implementation of new regulations and ensure company-wide compliance.

Client Onboarding & Trading Compliance

• Supervise client onboarding and trading terminal processes to ensure full compliance with exchange/member regulations.
• Enforce KYC, AML, and PMLA compliance across all client touchpoints.

Regulatory Reporting & Risk Management

• Oversee regulatory filings, returns, disclosures, and compliance reporting (e.g., margin reporting).
• Identify and report suspicious transactions (FIU, CDSL, exchanges) and manage internal risk alerts.

Exchange Coordination & Approvals

• Handle exchange inspections, regulatory approvals, and required follow-ups to ensure alignment with exchange expectations.

Client Grievance Redressal

• Establish systems for effective and compliant resolution of client complaints and inquiries.

Team Leadership & Capability Building

• Lead, mentor, and build a high-performance compliance team.
• Set clear goals and foster a culture of regulatory excellence and accountability.

Eligibility

• Experience: Minimum 15 years in compliance, with a strong background in stock broking, audits, and regulatory reporting.
• Domain Expertise: Deep knowledge of SEBI, RBI, exchange (NSE, BSE, MCX), and depository (CDSL) regulations.
• Leadership: Demonstrated experience in building and managing compliance teams.
• Legal & Regulatory Acumen: Strong grasp of regulatory filings, legal agreements, compliance frameworks.
• Analytical Skills: Capable of resolving complex regulatory challenges with accuracy and speed.
• Communication: Exceptional interpersonal and written communication skills for regulator and stakeholder liaison.
• Time & Risk Management: Ability to juggle priorities and manage risk under tight deadlines.

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

Once you apply, the next steps in the application process will be sent to you via e-mail.

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Contact: [email protected]

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