Manager Compliance - Stockbroking

Job Description

Reporting to: Senior Manager/ Head of Compliance.

Role Overview: The Manager, Compliance will be responsible for ensuring adherence to regulatory guidelines and internal policies in the stock broking business. This role involves managing compliance processes, conducting risk assessments, and liaising with regulators to uphold the highest standards of market integrity.

Key Responsibilities:

● Oversee day-to-day compliance activities, ensuring alignment with MCX, SEBI,NSE, BSE, CDSL and other regulatory requirements.
● Conduct periodic compliance audits and risk assessments to identify gaps and recommend corrective measures.
● Collaborate with internal teams to ensure compliance with trading, surveillance, and reporting obligations.
● Handle regulatory inspections, inquiries, and ensure timely submission of reports.
● Develop and maintain compliance policies, manuals, and training programs for employees.
● Monitor regulatory updates and implement necessary changes in processes and controls.
● Support senior leadership in regulatory engagements and strategy formulation.

Qualifications

Qualifications & Experience:

● 5-8 years of experience in compliance, risk management, or regulatory functions within stock broking or capital markets.
● Strong understanding of SEBI regulations, exchange rules, and compliance frameworks.
● Proficient in handling commodity related inspection, product nuances etc.
● Ability to interpret regulatory guidelines and implement them effectively.
● Excellent communication and stakeholder management skills.
● Prior experience in handling regulatory audits and inquiries is preferred.

Additional Information

PhonePe Full Time Employee Benefits (Not applicable for Intern or Contract Roles)

Insurance Benefits - Medical Insurance, Critical Illness Insurance, Accidental Insurance, Life Insurance Wellness Program - Employee Assistance Program, Onsite Medical Center, Emergency Support System Parental Support - Maternity Benefit, Paternity Benefit Program, Adoption Assistance Program, Day-care Support Program Mobility Benefits - Relocation benefits, Transfer Support Policy, Travel Policy Retirement Benefits - Employee PF Contribution, Flexible PF Contribution, Gratuity, NPS, Leave Encashment Other Benefits - Higher Education Assistance, Car Lease, Salary Advance Policy

Our inclusive culture promotes individual expression, creativity, innovation, and achievement and in turn helps us better understand and serve our customers. We see ourselves as a place for intellectual curiosity, ideas and debates, where diverse perspectives lead to deeper understanding and better quality results. PhonePe is an equal opportunity employer and is committed to treating all its employees and job applicants equally; regardless of gender, sexual preference, religion, race, color or disability. If you have a disability or special need that requires assistance or reasonable accommodation, during the application and hiring process, including support for the interview or onboarding process,