Manager-Regulatory Compliance
Job Summary
Job Description
Paytm Money Limited is a SEBI registered Stock Broker and Depository Participant offering services for Equity & Derivatives trading and Depository services. The role involves assisting in the onboarding, documentation, monitoring, and surveillance of Authorized Persons/Affiliates/Referral Partners, including physical meetings. Key responsibilities include conducting regular compliance audits, preparing regulatory filings for SEBI, and delivering compliance training to the Business Development team and Authorized Persons. The role also requires collaborating with internal teams, maintaining compliance records, and supporting investigations into compliance breaches. Occasional travel may be required. The ideal candidate will have a Bachelor's degree in Finance, Business Administration, Law, or a related field with 5-7 years of experience, familiarity with SEBI regulations, strong analytical skills, and excellent communication.
Must have:
- Bachelor's degree in Finance, Business Administration, Law, or related field.
- 5-7 years of experience.
- Familiarity with SEBI regulations.
- Strong analytical skills.
- Attention to detail.
- Excellent written and verbal communication.
- Proficiency in Microsoft Office Suite.
Good to have:
- Previous experience in compliance or risk management.
- Knowledge of financial markets and investment products.
7 skills required
Job Details
Paytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allow users to start your investment journey with zero paperwork, seamless digital KYC, automated payments, updated portfolio and powerful insights to make well-informed investment decisions. Paytm Money is also registered with PFRDA as Point Of Presence, offering investment in Nation Pension System (NPS). It is a fully owned subsidiary of One 97 Communications Limited, a listed entity in NSE and BSE. Paytm is Indias largest digital payment app which makes it secure and seamless to pay using UPI, make bill payments, recharge mobiles, DTH, data card & Metro Card etc anywhere in India.
Key Responsibilities:
Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons /
Affiliates/ Referral Partners including meeting them physically if required.
Conduct regular compliance audits and assessments to identify potential risks and areas for
improvement for Authorised Persons/Affiliates/ Referral Partners.
Prepare and submit regulatory filings, reports, and documentation as required by SEBI.
Responsible for conducting regular training to the Business development team and Authorised
Persons on compliance-related matters and promoting a culture of compliance within the
organization.
Collaborate with internal teams to gather necessary information for compliance reviews and
audits.
Maintain accurate records of compliance activities and findings.
Support the senior compliance team in conducting investigations into compliance breaches and
implementing corrective actions.
Occasional traveling might be required.
Qualifications:
Bachelors degree in Finance, Business Administration, Law, or a related field with minimum 5-7
years of experience
Familiarity with SEBI regulations and compliance requirements.
Strong analytical skills and attention to detail.
Excellent written and verbal communication skills.
Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
Preferred Skills:
Previous experience in compliance, risk management, or a related field is a plus.
Knowledge of financial markets and investment products.
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