Job Description
Stock Bazaar is a market data and research platform serving Indian retail investors. As we scale, you'll own the compliance function — keeping us aligned with SEBI regulations, company law and the obligations that come with distributing market data and research.
Key responsibilities
SEBI and regulatory compliance
- Ensure compliance with applicable SEBI regulations, circulars and guidelines
- Track regulatory developments affecting market data, research distribution and investor-facing platforms
- Prepare and file periodic regulatory returns and disclosures
- Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence
Secretarial and corporate
- Maintain statutory registers, minutes and records under the Companies Act, 2013
- Convene and record Board and shareholder meetings, including notices, agendas and resolutions
- File returns and forms with the MCA and Registrar of Companies
- Support corporate actions, share allotments and related filings
Policy and internal controls
- Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
- Conduct internal compliance reviews and maintain audit trails
- Run compliance training and awareness sessions for employees
- Review marketing, research and platform content for regulatory accuracy
Requirements
Risk and advisory
- Advise management on the regulatory implications of new products and features
- Identify compliance risks early and recommend mitigation
- Manage relationships with external legal counsel and auditors
Requirements
- Qualified Company Secretary (CS) and LLB — both mandatory
- Minimum 3 years of post-qualification experience in a compliance role
- SEBI-related compliance experience is mandatory — hands-on, not theoretical
- Working knowledge of the Companies Act, 2013 and SEBI regulations
- Experience preparing regulatory filings and maintaining statutory records
- Strong drafting skills in English
- Ability to work independently in a lean team
Good to have
- Experience in the stock market, broking, research analyst or market data industry
- Familiarity with the SEBI (Research Analysts) Regulations
- Exposure to a startup or high-growth environment
- NISM certification