Associate Director Compliance

Bangalore - India

Monthly Salary: Not Disclosed

Posted on: 7 days ago

Vacancies: 1 Vacancy

Job Summary

Know the Company :

PeepalCo is a canopy for brands serving India with tailored wealth-tech products Making Money Equal for All. Founded by Ashish Singhal Govind Soni and Vimal Sagar Tiwari PeepalCos products include CoinSwitch and Lemonn. The Group is backed by blue-chip investors including Andreessen Horowitz (a16z) Tiger Global Peak XV Partners (formerly Sequoia Capital India) Ribbit Capital Paradigm and Coinbase Ventures.

PeepalCo is the brand name for our Group entity and will house all our wealth-tech brands. The largest of our brands CoinSwitch Lemonn will be housed under PeepalCo.

For more information visit: For media queries contact:

About the role:

We are seeking a highly experienced and motivated Associate Director of Compliance with deep expertise in stock market and equity regulations to join our team. The ideal candidate will have a strong understanding of regulatory frameworks governing securities equity trading and investment products along with a proven track record of designing and executing effective compliance programs

What you will do:

Develop implement and oversee comprehensive compliance programs and policies aligned with regulatory requirements in the stock and equity domain.
Stay updated on regulatory developments SEBI guidelines and global best practices to ensure the organizations full compliance with applicable laws.
Conduct periodic compliance audits and risk assessments to identify gaps strengthen internal controls and mitigate potential risks.
Collaborate cross-functionally with Legal Finance Operations Product and Business teams to ensure compliance is embedded into all processes and products.
Serve as a subject matter expert on equity compliance matters offering strategic guidance and training to internal stakeholders.
Build and maintain strong relationships with regulatory authorities (e.g. SEBI RBI exchanges) industry associations and other external stakeholders.
Oversee monitoring and investigation of suspicious trading patterns insider trading risks and policy breaches ensuring timely remediation and reporting.
Prepare and manage regulatory filings reports and disclosures with accuracy and timeliness.
Support product launches and partnerships by reviewing business proposals for regulatory and compliance implications.

What you should have:

9 years of experience in compliance regulatory affairs or a related field preferably within broking stock exchanges fintech or capital markets.
Strong knowledge of securities laws SEBI and RBI regulations AML/KYC norms insider trading rules and data privacy requirements.
Proven ability to design implement and oversee robust compliance frameworks and internal control mechanisms.
Excellent analytical and problem-solving skills to interpret complex regulatory issues and offer practical business-friendly solutions.
Strong communication and interpersonal skills with the ability to collaborate effectively across departments and with regulators.
Professional certifications such as CAMS CS CFA NISM Compliance Officer Certification or equivalent are preferred.
Ability to thrive in a fast-paced evolving regulatory environment while maintaining the highest ethical standards.

Life at PeepalCo

We take great pride in what we do and are committed to our mission. And we have a lot of fun while at it!

Heres how we do things at PeepalCo:

Customer-first: Thats the North Star. Everything we do is to make our users investment experience better and simplified.
Ownership: We dont sport lab coats but we experimenta lot. And we take ownership. We even have a catchphrase for this: Think big fail fast and build better.
Data-driven: The source of truth. Simple as that.
Fun: PS5 anyone Or do you prefer Foosball Or perhaps Carrom And yes our HR team has a whole list of activities: Disco nights offsites gift boxes and more!

Speaking of lists the perks and benefits are so extensive this space isnt enough. Here are a few:

Parenthood: Up to 8 months of Maternity leave and 1 month of Paternity leave
Gender Reassignment Surgery: Be the best version of you! Well support you and reimburse your medical bill.

Disclaimer: We are an equal opportunity employer committed to building a respectful and empowering work environment for all people to freely express themselves amongst colleagues who embrace diversity in all respects. Including fresh voices and unique points of view in all aspects of our business not only creates an environment where we can all grow and thrive but also increases our potential to produce work that better representsand resonates withthe world around us.

Required Experience:

Director

Know the Company :PeepalCo is a canopy for brands serving India with tailored wealth-tech products Making Money Equal for All. Founded by Ashish Singhal Govind Soni and Vimal Sagar Tiwari PeepalCos products include CoinSwitch and Lemonn. The Group is backed by blue-chip investors including Andreesse...

Know the Company :

PeepalCo is the brand name for our Group entity and will house all our wealth-tech brands. The largest of our brands CoinSwitch Lemonn will be housed under PeepalCo.

For more information visit: For media queries contact:

About the role:

What you will do:

Develop implement and oversee comprehensive compliance programs and policies aligned with regulatory requirements in the stock and equity domain.
Stay updated on regulatory developments SEBI guidelines and global best practices to ensure the organizations full compliance with applicable laws.
Conduct periodic compliance audits and risk assessments to identify gaps strengthen internal controls and mitigate potential risks.
Collaborate cross-functionally with Legal Finance Operations Product and Business teams to ensure compliance is embedded into all processes and products.
Serve as a subject matter expert on equity compliance matters offering strategic guidance and training to internal stakeholders.
Build and maintain strong relationships with regulatory authorities (e.g. SEBI RBI exchanges) industry associations and other external stakeholders.
Oversee monitoring and investigation of suspicious trading patterns insider trading risks and policy breaches ensuring timely remediation and reporting.
Prepare and manage regulatory filings reports and disclosures with accuracy and timeliness.
Support product launches and partnerships by reviewing business proposals for regulatory and compliance implications.

What you should have:

9 years of experience in compliance regulatory affairs or a related field preferably within broking stock exchanges fintech or capital markets.
Strong knowledge of securities laws SEBI and RBI regulations AML/KYC norms insider trading rules and data privacy requirements.
Proven ability to design implement and oversee robust compliance frameworks and internal control mechanisms.
Excellent analytical and problem-solving skills to interpret complex regulatory issues and offer practical business-friendly solutions.
Strong communication and interpersonal skills with the ability to collaborate effectively across departments and with regulators.
Professional certifications such as CAMS CS CFA NISM Compliance Officer Certification or equivalent are preferred.
Ability to thrive in a fast-paced evolving regulatory environment while maintaining the highest ethical standards.

Life at PeepalCo

We take great pride in what we do and are committed to our mission. And we have a lot of fun while at it!

Heres how we do things at PeepalCo:

Customer-first: Thats the North Star. Everything we do is to make our users investment experience better and simplified.
Ownership: We dont sport lab coats but we experimenta lot. And we take ownership. We even have a catchphrase for this: Think big fail fast and build better.
Data-driven: The source of truth. Simple as that.
Fun: PS5 anyone Or do you prefer Foosball Or perhaps Carrom And yes our HR team has a whole list of activities: Disco nights offsites gift boxes and more!

Speaking of lists the perks and benefits are so extensive this space isnt enough. Here are a few:

Parenthood: Up to 8 months of Maternity leave and 1 month of Paternity leave
Gender Reassignment Surgery: Be the best version of you! Well support you and reimburse your medical bill.

Required Experience:

Director

Key Skills

Program assessment
FDA Regulations
Manufacturing & Controls
Program Evaluation
budget forecast
Research Experience
Operations Management
Research & Development
Strategic Planning
Contract Management
Leadership Experience
negotiation

Apply Now

About Company

CoinSwitch

Made in India, for Indians - CoinSwitch is India’s Simplest & Most Trusted Crypto App. Buy, Sell & Trade in Bitcoin & Altcoins At The Tap Of A Button.

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