Head of Product Compliance
Job Description
Role overview:
This is a high-impact, strategic leadership role designed for a professional who acts as the bridge between business innovation and regulatory approvals.
Looking for candidates who
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With proven track record of independently managing representations with exchange working-level officers.
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Should be able to pitch, defend, and secure approvals for new initiatives, business lines, and products from SEBI and the exchanges.
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Should have deep understanding of tech architecture, APIs, and margin rules
Job Description:
Candidate is expected to
a. Design compliant-by-design trading features, margin variants, and automated systems.
b. Draft, submit, and pitch complex product representation papers and sandbox proposals to exchange product committees and SEBI.
c. Maintain active, high-credibility relationships with working-level and senior officers at NSE, BSE, MCX, and SEBI to smoothly navigate product approvals and policy grey areas.
d. Translate newly released SEBI consultation papers and exchange circulars into strategic roadmaps for the product engineering teams.
e. Partner directly with Product Managers, UX Designers, and Tech Leads to architect new trading features (e.g., advanced margin products, MTF variations, retail trading APIs, algo-wrappers) ensuring they strictly adhere to SEBI and Exchange mandates.
f. Review retail API infrastructure, algorithmic trading workflows, and third-party integrations to prevent unauthorized order routing or market manipulation risks.
g. Create internal compliance frameworks for edge-case scenarios in digital onboarding (e.g., instant CKYC/DigiLocker failures, re-KYC workflows, nominee additions) and real-time risk management (RMS) triggers.
Requirements
Qualifications:
Experience: 5 to 9 years of core experience in Indian Capital Markets, with at least 3+ years sitting directly within a FinTech broker, high-frequency trading (HFT) firm, or a tech-forward asset management company (AMC).
Education: Graduate/Postgraduate in Computer Science/Engineering, Finance, or Law (LL.B). A dual background (e.g., B.Tech + MBA or B.Tech + Law) is a massive advantage.
Mandatory Certifications: NISM-Series-III-A: Securities Intermediaries Compliance Certification.
Highly Desirable: NISM-Series-VIII (Equity Derivatives) or certifications related to Algorithmic Trading Operations.
Requirements Qualifications: Experience: 5 to 9 years of core experience in Indian Capital Markets, with at least 3+ years sitting directly within a FinTech broker, high-frequency trading (HFT) firm, or a tech-forward asset management company (AMC). Education: Graduate/Postgraduate in Computer Science/Engineering, Finance, or Law (LL.B). A dual background (e.g., B.Tech + MBA or B.Tech + Law) is a massive advantage. Mandatory Certifications: NISM-Series-III-A: Securities Intermediaries Compliance Certification. Highly Desirable: NISM-Series-VIII (Equity Derivatives) or certifications related to Algorithmic Trading Operations.