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Key Responsibilities:
Exchange Circular Compliance:
- Monitor, Analyze, and interpret circulars, notifications, and directives issued by exchanges (e.g., NSE, BSE) and regulatory bodies (e.g., SEBI).
- Assess the impact of new circulars on business processes and operational procedures.
- Coordinate with relevant departments (e.g., trading, operations, IT) to ensure timely implementation of applicable circular requirements.
- Maintain a circular tracker and ensure that actions taken are documented and auditable.
- Draft and update internal compliance manuals and SOPs based on circulars and regulatory changes.
- Communicate relevant regulatory changes across the organization in an accessible and actionable format.
Audit Management (Internal & External):
- Lead and coordinate periodic internal audits and regulatory/exchange inspections.
- Liaise with auditors (statutory, internal, SEBI, exchange-appointed) and ensure all required documentation and data are prepared and submitted.
- Address audit observations and implement corrective action plans in collaboration with other teams.
- Maintain audit logs, evidence, and historical audit records for regulatory reference and future inspections.
- Ensure closure of non-compliance issues raised during audits within stipulated timelines.
- Conduct periodic internal compliance checks to identify gaps and improve readiness for inspections.
Qualifications & Skills:
- Bachelor’s or Master’s degree in Law, Finance, Commerce, OR CA.
- 5-6 years of experience in compliance within a brokerage, stock exchange, or financial services environment.
- Strong understanding of SEBI regulations and exchange rules.
- Experience handling audits and regulatory inspections, including SEBI and exchange audits.
- Excellent document management, reporting, and analytical skills.
- Familiarity with compliance tracking tools and audit software is an advantage.
- Strong verbal and written communication skills to interface with regulators and auditors.
Preferred Certifications
- NISM Series certifications
Our client is a revolutionary Educational services platform, that brings in innovation and expertise in their ways of learning. Awarded as one of the best Google apps of 2017, the app provides students with a variety of online courses that cover K12 subjects, Entrance exams, Engineering and Finance stream topics, as well as Self-help notes.
Their unique and simple AI based site and app feature 500+ courses, nearly a lakh videos and tests, and also imparts strength and weakness analysis for the students to improve their knowledge base. The 5 yr old organisation is one of the most loved ed-tech platforms that reaches more than 4.5 million registered users.
- Creating and maintaining test plans as the product grows in functionality
- Researching, designing, and implementing the automation framework for tests
- Creating processes around the entire testing workflow, all the way from test case management, test data creation, automatic bug captures, test progress measurement etc.
- Defining test specifications for functional, integration and performance testing.
- Collaborating with the development team in continuous build & deployment process
- Reporting test coverage and participating in troubleshooting
- Creating optimal test strategy (including functional, non-functional, analytics and automation) and test plans for both short term and long term projects.
- Editing Job Description
- 2-5 years of experience working in a product based startup/company
- Understand the creation and implementation of test cases for immediate test scenarios and long term test case strategies.
- BE/B.Tech from Tier 1 college (Computer Science/Relevant Degree) or great set of experience of working in startup(s)/product based companies.
- Knowledge of automation tools like Selenium suite of Tools (Selenium IDE, Selenium RC, Selenium Web Driver and Selenium Grid)
- Experience in testing both Android & iOS, as well as the website
- Experience in establishing/managing small teams and setting up best practices across engineering units ensuring perfect releases each time.
- Good understanding of the user experience as well as ensuring a seamless product journey for users.
- Should be able to understand requirements and test algorithms accordingly.
- Strong analytical and troubleshooting skills.
- Should be resourceful, innovative and inventive.
- Creative in approaching the problems following different approaches, mindset, devices, environment, etc.
- Know how to prioritize things on the basis of their impact on the product & the company.
- Empathy towards students to understand the problem or take regular feedback for product improvement.
- Quality of keeping pace while working in dynamic atmosphere
- Great skills to communicate with the team and also articulate them for the internal documentation within the team members.