Compliance Manager
Deven Choksey is seeking a proactive Compliance Manager to own regulatory governance for their Research Analyst and Registered Investment Adviser business. The role involves managing SEBI filings, advertisement vetting, website compliance, and cyber grievance redressal. You will leverage an AI-driven approach to streamline regulatory tracking and reporting. This position requires deep expertise in SEBI regulations and experience coordinating with financial exchanges.
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Experience
5-12 years
Function
Finance
Work mode
Onsite, India
Company
Tier 2
What you will work on
Deven Choksey is seeking a proactive Compliance Manager to own regulatory governance for their Research Analyst and Registered Investment Adviser business. The role involves managing SEBI filings, advertisement vetting, website compliance, and cyber grievance redressal. You will leverage an AI-driven approach to streamline regulatory tracking and reporting. This position requires deep expertise in SEBI regulations and experience coordinating with financial exchanges.
TAL's take
Solid tier-2 role with well-defined regulatory responsibilities and clear scope for a domain expert.
The JD provides a highly structured, detailed breakdown of responsibilities, domains, and specific regulatory frameworks.
Must haves
- 5-12 years of experience in RA/RIA compliance
- Hands-on experience in SEBI Investment Adviser and Research Analyst Regulations
- Experience in advertisement compliance under SEBI norms
- Strong drafting and documentation skills
- Ability to handle SCORES portal and cyber grievance management
Tools and skills
Nice to have: ai-driven compliance tools, nism certifications.
About the company
Established financial services firm, familiar brand in the Indian financial market.
Posts mentioning Deven Choksey
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I have had so many conversations about AI with so many different people. These innovations and advancements are more scary than exciting. I am 25, and I love what I do, and I want more of it. I don't know guys, it's like either turn a blind eye to these events or start figuring out other stuff, because at the end I need to make money.