brand logo
SEE ALL JOBS

Manager-Compliance

Mumbai, Compliance
JOB DESCRIPTION
COMPANY VISION
We are making finance simple. For millions in India.
Groww is on a mission to democratize access to financial services for millions of Indians responsibly. We are a customer-first company.
We believe in crafting the best and most delightful user experience for our customers. And we leverage first principle thinking and technology to solve problems at scale.  . If this excites you, join us.

About Groww
Groww is India’s fastest growing investment platform.. Our long term vision to become the trusted money partner of ~100M Indians with core products in investment & banking. Groww was founded in 2016 by alums from Flipkart, ICICI, IITB, IITD, BITs Pilani and is, backed by marquee investors  like Tiger Global, Sequoia Capital, Ribbit Captial, and Y Combinator.

OUR VALUES
We take pride in our values and hold ourselves to a high standard on:
  • Radical customer centricity
  • Simplicity in our products and personalities
  • Transparency on everything
  • Long term thinking
  • Ownership driven culture
Roles & Responsibilities:
  • Overall responsibility of stock broking, depository participant and mutual fund distribution compliances and ability to handle regulatory inspections.
  • Work closely with operations & technology team and ensure setting up of various processes/systems – viz., regulatory reporting, settlement of client funds, margin reporting and other allied / associate processes which are integral to broking / DP operations.
  • Ensure that process that has been set-up as per regulatory / business requirements are being performed properly from a qualitative and timeliness perspective and keep a check with continuous verification/testing of system controls and reports.
  • Identify enhancements, possible automations to existing process & systems.
  • Work closely with auditors – internal/concurrent to develop and/or enhance/smoothen processes, system controls, surveillances, and associated procedures as per regulatory guidelines/circulars.
  • Handle regulatory alerts / internal alerts and closure of the same with proper analysis.
  • Handling of investor complaints received from regulators and ensure smooth closure of the same within the timelines.
  • Dissemination of various circulars/reports/orders and appraise the Senior Management of their impact on the current business scenario.
  • Knowledge of insider trading policy and experience of implementation /alerts generation/document maintenance/ reporting of the same.
EXPERTISE AND QUALIFICATIONS
  • Should be a CA/CS/MBA Finance with a minimum of 7-8 years of experience.
  • Should have worked with a SEBI registered stock broking firm or from a CA firm having in-depth knowledge of broking / DP operations and conducted internal / concurrent audits.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.
  • Process focussed and laying down best standards of functioning
  • Deadline and Detailed oriented;
  • Good interpersonal skills and excellent written/oral communication skills.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment
SHARE USING