Compliance Head
Bengaluru
About TRADL AI:
TRADL AI is building India's first AI trading co-pilot for 100M+ traders.
Today, we convert natural language into verified, code-backed stock intelligence - no hallucinations, no black boxes. Tomorrow, we're building the full stack: real-time chart intelligence, autonomous research agents, and portfolio-aware execution. We're turning what institutional desks spend millions on into a conversation anyone can have.
We're live, growing fast, and the hardest problems are still ahead of us.
Why This Role Exists
The compliance function needs to be built from the ground up - policies, procedures, surveillance systems, regulatory reporting, and exchange/depository relationships. We also have existing obligations under SEBI (Research Analyst) Regulations for our current platform. This role will be responsible for the entire compliance lifecycle: licence acquisition, framework design, ongoing operations, and audit readiness.
What You'll Own
Broker Licence: Lead the SEBI stockbroker registration process. Application documentation, capital adequacy requirements, exchange membership (NSE/BSE), depository participant tie-ups (CDSL/NSDL), and all regulatory liaison through to approval.
Compliance Framework: Design and implement KYC/AML policies, client onboarding procedures, trade surveillance, risk management policies, margin monitoring, and internal controls appropriate for a technology-driven brokerage.
Regulatory Operations: Manage ongoing filings, net worth reporting, SCORES grievance redressal, exchange audit responses, and periodic compliance reports to SEBI and exchanges.
Surveillance: Establish trade surveillance for market manipulation, insider trading, front-running, and other prohibited activities across client accounts.
Product Integration: Work with Product and Engineering to build compliance requirements into the platform - order risk checks, margin systems, disclosure frameworks, and RA regulation compliance for AI-generated research outputs.
Policy & Training: Draft and maintain compliance manuals, code of conduct, insider trading policy, and employee dealing policies. Conduct periodic compliance training across the organisation.
What We're Looking For
8-12+ years in compliance at a SEBI-regulated entity: stockbroker, research analyst, investment adviser, or exchange.
Strong working knowledge of SEBI (Stock Brokers) Regulations, SEBI (RA) Regulations, PMLA/KYC norms, and NSE/BSE by-laws.
Prior experience with stockbroker registration or licence acquisition with SEBI is strongly preferred.
Qualified Company Secretary (CS) or Chartered Accountant (CA).
Direct experience working with SEBI, NSE, BSE, CDSL/NSDL during inspections, audits, and licence processes.
Understanding of trade surveillance frameworks, peak margin norms, upfront margin requirements, and broker risk management obligations.
Strong written communication for regulatory submissions, board-level compliance reports, and user-facing disclosures.
Bonus Points
Experience at a discount or fintech broker (Zerodha, Groww, Angel One, Upstox, Dhan, or similar).
Familiarity with algo/API trading compliance requirements.
Exposure to SEBI’s regulatory sandbox framework or cyber security and technology risk guidelines.
Experience setting up compliance tooling - surveillance systems, AML screening, or regulatory reporting automation.