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AVP - Regulatory Compliance

Angel One
Mumbai
15-20 Years
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  • Posted 19 days ago
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Job Description

Key Responsibilities:

Regulatory Compliance:

  • Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL, AMFI, and RBI regulations.
  • Monitor regulatory updates and implement required changes.
  • Prepare and submit statutory reports, disclosures, and returns.
  • Maintain regulatory correspondence and ensure inspection readiness.

Internal Compliance Monitoring:

  • Conduct internal audits and compliance reviews.
  • Identify and mitigate compliance risks across business units.
  • Maintain compliance dashboards and escalate issues as needed.

Policy & Process Management:

  • Draft and update compliance policies, SOPs, and manuals.
  • Ensure operational alignment with regulatory expectations.
  • Implement and monitor risk-based compliance frameworks.

Training & Awareness:

  • Conduct regular compliance training and awareness programs.
  • Foster a culture of ethical conduct and regulatory discipline.

Liaison & Coordination:

  • Act as the primary liaison for regulatory inspections and audits.
  • Coordinate with internal departments for compliance-related matters.
  • Respond to regulatory queries and notices in a timely and accurate manner.

More Info

Job Type:
Permanent Job
Industry:
Financial Services
Role:
Other Roles
Function:
Others
Employment Type:
Full time
Open to candidates from:
Indian

About Company

Angel One

Angel One Limited is a Fintech company providing broking services, margin trading facility, research services, depository services, investment education and distribution of third-party financial products to its clients, on a mission to become the No. 1 fintech organization in India. With about 32 million registered clients, we are onboarding, in the current financial year, an average of over 900K new clients every month. We are working to build personalized financial journeys for our clients via a single app, powered by new-age tech, AI, Machine Learning and Data Science. We are a group of self-driven, motivated individuals who enjoy taking ownership and believe in providing best value for money to investors through innovative products and investment strategies. We apply and amplify personalisation within our products and services. We have a flat structure, with ample opportunity to showcase your talent and a growth path for engineers to the very top. Join our team and experience the best of both worlds at Angel One! We believe in the power of collaboration and the freedom of flexibility. This year, we secured rank 20 among the top 100 Best Companies to Work for, in India in 2025; a big jump from rank 92 in 2022, from rank 52 in 2023, and rank 25 in 2024! We are aggressively hiring Engineers, Product Managers & Data science rockstars across India. Check out our careers section!

Job ID: 132669015

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Last Updated: 18-11-2025 06:52:26 AM
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