Associate Director, Equity

Know the Company :

Lemonn makes stock investing engaging, informative, and effortless. Built to make investing simple, the app enables everyone to own a share of India’s growth story. Lemonn is a product of PeepalCo, a house of brands with the mission to Make Money Equal for All. NU Investors Technologies Private Limited provides online broking service. 

About the Role :

As an Associate Director of Compliance at CoinSwitch, you will be key in taking responsibility for ensuring our company's adherence to all relevant laws, regulations, and industry standards. You will collaborate closely with cross-functional teams to develop and implement effective compliance strategies, policies, and procedures. The successful candidate will have a deep understanding of SEBI regulations, exceptional attention to detail, and the ability to lead a team of compliance professionals.
 
What you will do :
  • Develop and execute a comprehensive compliance program that encompasses regulatory requirements, risk assessments, policies, and training initiatives.
  • Lead and mentor a team of compliance professionals, fostering a culture of continuous learning and development.
  • Develop, implement, and monitor effective compliance policies, procedures, and controls to align with SEBI regulations and industry standards.
  • Oversee transaction monitoring systems to detect and investigate potentially suspicious activities and report findings as required.
  • Manage and enhance the Know Your Customer (KYC) and Anti-Money Laundering (AML) processes, ensuring robust due diligence and customer identification procedures.
  • Stay abreast of changes in SEBI regulations, equity and mutual fund compliance requirements, and communicate these changes to relevant stakeholders.
  • Conduct regular compliance audits and assessments to identify potential areas of risk and implement appropriate corrective actions.
  • Design and deliver compliance training programs for employees at all levels of the organisation.
  • Collaborate with the executive team to develop and monitor financial budgets, forecasts, and key performance indicators (KPIs).
  • Support fundraising activities, including investor relations, financial due diligence, and preparation of financial presentations.
What you should have :
  • Minimum of 9 years of experience in compliance management, with a strong emphasis on SEBI regulations, transaction monitoring, KYC & AML, equity, and mutual fund compliance.
  • Proven track record of effectively leading and managing compliance teams.
  • Deep understanding of SEBI regulations in stock broking
  • Strong leadership skills with a track record of successfully managing and developing compliance teams.
  • Thorough understanding of relevant laws and regulations in the WealthTech Industry
  • Excellent analytical skills and the ability to assess complex regulatory issues and develop effective solutions.
  • Experience in managing regulatory interactions and examinations is a plus

Life at Lemonn.

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

Here’s how we do things at Lemonn:

  • Customer-first: That’s the North Star. Everything we do is to make our users’ investment experience better and simplified.

  • Ownership: We don’t sport lab coats, but we experiment—a 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. It's as simple as that.

  • Fun: PS5, anyone? Or do you prefer Foosball? Or perhaps Carrom? And yes, our HR team has a list of activities: Disco nights, offsites, gift boxes, and more!

Speaking of lists, the perks and benefits are so extensive, that this space isn’t 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! We’ll 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 creates an environment where we can all grow and thrive and increases our potential to produce work that better represents—and resonates with—the world around us.
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