Specialist - Compliance - Broking - Mumbai Office

About Angel one :

Angel One Limited is a Fintech company providing broking services, margin trading facility, research services, depository services, investment education and distributes third party financial products to its clients, on a mission to become the No. 1 fintech organization in India. With over 2 crore+ registered clients, we are onboarding an average of over 800k new clients every month in the current financial year. 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 have a flat structure, with ample opportunity to showcase your talent and a growth path for you to the very top. We are aggressively hiring for various non-tech and tech roles across India. Join our team and experience the best of both worlds at Angel One! Check out our careers section!

Why You'll Love Working at Angel One!

• Ranked Top 25 Companies to Work in India: 🏆We're proud to be recognized as one of the best workplaces, certified for 8 consecutive years.
• Innovative Culture: 💡Ideate, innovate, and create cutting-edge fintech solutions with AI and Machine Learning.
• Be part of something huge: 🤝 Be at the Forefront of Fintech Innovation
• Bold Approach: 💪We're not just growing a customer base; we're unlocking potential, aiming to touch a billion lives. It's about more: more drive, more initiative, and a bolder way of working.

Job Title: Specialist - Compliance

Location: Mumbai

What you will do:

• Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
• Liaisoning with Exchanges on everyday basis
• Managing Inspections carried out by Exchanges, Depositories and SEBI
• Managing internal audits of Depositories and Exchanges
• Submission of Enhanced supervision data and other Exchange reportings in a timely manner
• KYC Compliance and monitoring of compliance functions
• Preparation, submission, and uploading Annual return & Compliance to the exchanges.
• Timely updating Policies and procedures in line with Exchange guidelines
• Evaluating new regulatory guidelines and implementation
• Handling internal audits and implementation
• Preparation and submission of MIS and status reports
• Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines

Who you are:

• Should be LLB/CA/InterCA/CS/Inter CS/Bcom.

What's in it for You?

• Empowered Growth: 🚀 We invest in your growth and empower you to explore your full potential.
• Exceptional Benefits: 🧘‍♀️ Our comprehensive benefits package includes health insurance, wellness programs, learning & development opportunities, and more.

For a deeper dive into our company culture and vision, explore our Company Deck.

At Angel One, our thriving culture is rooted in Diversity, Equity, and Inclusion (DEI).

As an Equal opportunity employer, we wholeheartedly welcome people from all backgrounds irrespective of caste, religion, gender, marital status, sexuality, disability, class or age to be part of our team.We believe that everyone's unique experiences and viewpoints make us stronger together. Come and be a part of #OneSpace*, where your individuality is celebrated and embraced.