Univest - Chief Compliance Officer

About Univest:

Univest is a Series A-funded, profitable fintech startup based in Gurgaon. Across our group entities we run multiple SEBI-registered business lines: research and investment advisory, stock broking, and algo trading. We're also expanding into new business lines.

We're hiring a Chief Compliance Officer to own compliance, regulatory relations and risk controls across the Univest group, and to make sure every existing and new product is compliant.

Key responsibilities:

• Act as the designated compliance officer and main contact for SEBI, the exchanges and depositories. Own all regulatory filings and submissions, from daily and periodic exchange and depository reporting to inspections, audits and responses to regulatory queries.
• Ensure everything the group does, from the product experience to its business practices, complies with the regulations that apply to each entity and business line, whether they come from SEBI, RBI or other regulators.
• Lead compliance for every new business line the group launches, from getting the required registrations and approvals to running its day-to-day compliance once it's live.
• Make sure all customer-facing communication meets SEBI's advertising and performance-communication rules, and that sales practices prevent mis-selling.
• Work with product, tech and marketing from the start of every new product, feature or pricing change.
• Run internal audits, AML/CFT monitoring and insider-trading controls. Own data protection under the DPDP Act and cybersecurity compliance under SEBI's CSCRF.
• Handle grievances through SCORES and ODR.
• Track regulatory changes, brief leadership on their impact, and report quarterly to the Board and Audit Committee.

What success looks like:

• 100% compliance across all product and business lines.
• Clear, documented compliance processes that every team follows, so compliance is embedded in how the company works.
• All filings on time, with no penalties.
• Clean inspections and audits.
• New products and campaigns cleared within agreed timelines.
• Complaints resolved within SEBI timelines.

Who we're looking for:

• 15+ years in compliance at SEBI-registered intermediaries, across both research/advisory and broking.
• Has personally handled SEBI inspections and exchange relationships.
• Hands-on: comfortable reviewing app screens and campaigns, not just policies.
• Has worked closely with performance marketing teams. This is a big plus.
• Experience in a digital or app-first business is a plus.
• Brownie points if you're AI-first and already use AI tools to work faster and smarter on compliance.

Qualifications:

• CS, LL.B/LL.M or CA.
• Required: NISM Series III-A.
• Preferred: Series XV (Research Analyst) and X-A/X-B (Investment Adviser).