Role Overview
5paisa is hiring a entry-level Regulatory Compliance. This is a full-time role in Thane. posted last week. Full responsibilities, required qualifications, and the apply link are listed in the description below.
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Job Description
Job Description – Compliance & Regulatory Reporting (Technology & Cyber Compliance)
Department: Compliance
Role Objective:
To ensure timely, accurate, and compliant execution of all regulatory reporting, audits, and submissions to Stock Exchanges and internal stakeholders, in line with SEBI regulations and Exchange/ Depository guidelines.
Key Responsibilities: Regulatory Reporting & Submissions
- Manage and ensure timely submission of various regulatory reports to all Stock Exchanges/ Depositories:
- Coordinate with internal teams to gather accurate data for regulatory filings.
- Maintain Compliance Calendar for all regulatory submissions and audit timelines.
- Maintain MIS and Audit Trail for the submissions.
Audit Management & Compliance Monitoring
- Coordinate and oversee completion of:
- Internal Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)- Broking and Depository Operations
- System Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)
- VAPT (Vulnerability Assessment & Penetration Testing) Audit and ATR (Half-Yearly)
- Cyber Security Audit and ATR (Half-Yearly)
- Track audit observations and ensure timely closure through continuous follow-ups.
Advertisement & Website Compliance
- Review/ Submission of Advertisement to Exchange in line with the Code of Advertisements and maintaining the MIS of the same.
Handling of Exchange/ Depository off-site/ on-site Inspections/ Queries
- Liasoning with Exchanges, Depositories for the Inspections and Audit.
- Escalate delays, deviations, and compliance risks to senior team members.
Candidate Profile:
Educational Qualification:
- Graduate/Postgraduate, MBA, LLB
Experience
- 3–5 years of experience in Compliance/Regulatory Reporting in a broking
- Hands-on experience with SEBI/Exchange compliance requirements
Skill Set:
- Strong understanding of SEBI and Stock Exchange compliance framework
- Excellent coordination and follow-up skills
- Attention to detail and ability to manage multiple deadlines
- Strong documentation and communication skills
About 5paisa
5paisa
5paisa.com
Frequently Asked Questions
How do I apply for the Regulatory Compliance position at 5paisa?
Use the Apply button above to submit your application directly to 5paisa. Most applications take less than 5 minutes if your resume and contact details are ready, and you'll be routed to the employer's official application system to finish.
Where is the Regulatory Compliance position at 5paisa located?
This position is based in Thane. 5paisa has not indicated remote or hybrid options for this role, so candidates should plan for on-site work.
What does a Regulatory Compliance at 5paisa earn?
5paisa has not disclosed a salary range in this posting. Many employers share specifics later in the interview process; you can also ask during a recruiter screen if compensation transparency is important to you.
When was the Regulatory Compliance role at 5paisa posted?
This role was posted on June 18, 2026 (8 days ago). It's still listed as actively hiring; we re-confirm openings against the source system multiple times per day and remove closed roles.
Is the Regulatory Compliance role at 5paisa entry-level?
Yes. This is an entry-level position. Strong candidates typically have 0-2 years of relevant work experience, internships, or significant project work. Read the full description for any specific qualification requirements 5paisa has listed.
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