AM/M - Compliance

As an AM/M - Compliance professional at CoinSwitch (part of PeepalCo), you own the end-to-end compliance lifecycle for a fintech platform serving India's wealth-tech market. Your role spans product development and marketing approvals through real-time surveillance and regulatory reporting. You'll combine regulatory expertise, analytical rigour, and a product-first mindset to navigate India's complex securities and financial compliance landscape.

What you'll do

• Review and approve all marketing collateral, social media content, and app notifications for compliance; liaise with Stock Exchanges (NSE/BSE/MCX) for prior approval of advertisements and adherence to the latest SEBI Code of Advertisement.
• Track SEBI and Exchange circulars daily, interpret their impact, and disseminate analysis to Product, Tech, and Operations teams to drive timely implementation of new guidelines.
• Monitor and resolve real-time surveillance alerts to detect and report suspicious trading patterns or market abuse.
• Oversee the AML/KYC framework, including risk categorization, PMLA reporting (STR/CTR), and periodic audits of the onboarding flow.
• Manage and coordinate Internal Audits, System Audits, and Concurrent Audits; act as the primary point of contact for SEBI and Exchange Inspections.
• Ensure 100% adherence to the Compliance Calendar (daily, monthly, quarterly, and annual filings) and monitor the investor grievance redressal system (SCORES/internal) to drive prompt resolution.
• Perform Pre-Prod Audits on new features (e.g., F&O, MTF, SIP) to ensure they meet the "Compliant-by-Design" standard and provide sign-off on control testing reports before any feature goes live.

What you bring

• 5-8 years of core experience in Stock Broking Compliance, with fintech or digital broking experience highly valued.
• Subject Matter Expert knowledge of SEBI (Stock Broker) Regulations 2026, PMLA guidelines, and Exchange Bylaws.
• Strong analytical skills to interpret complex trading data and identify procedural risks early.
• Ability to communicate technical regulatory requirements clearly to non-compliance teams such as Tech and Design.
• Proven track record of planning and executing compliance projects and audits independently.
• MBA, professional degree in Finance, Commerce, or related field (CA, CS, etc.).

Nice to have

• NISM Certificates.

What we offer

• Up to 8 months of maternity leave and 1 month of paternity leave.
• Gender reassignment surgery support with medical bill reimbursement.
• Access to recreational facilities including PS5, foosball, and carram.
• Regular team activities including offsite events and celebration gift boxes.

About PeepalCo

PeepalCo is an India-focused wealth-tech group founded by Ashish Singhal, Govind Soni, and Vimal Sagar Tiwari. Its brands include CoinSwitch and Lemonn, backed by investors including Andreessen Horowitz, Tiger Global, Peak XV Partners, Ribbit Capital, Paradigm, and Coinbase Ventures. The group's mission is to make money equal for all through tailored financial products.