About the Job
We are looking for a highly responsible and regulatory-driven Compliance Manager who will take complete ownership of RA (Research Analyst) and RIA (Registered Investment Adviser) Licensing, along with ensuring end-to-end compliance under SEBI Regulations applicable to broking and other regulated activities of the company.
The ideal candidate must have hands-on experience in SEBI intermediary compliance, regulatory inspections, and licensing processes, and should bring an AI-driven, automation-oriented approach to compliance governance.
This role requires a proactive compliance leader who ensures the company remains fully aligned with SEBI regulations at all times while building scalable, tech-enabled compliance systems.
Roles & Responsibilities
1. RA & RIA Licensing Full Ownership
- Complete end-to-end responsibility for RA & RIA registration, renewal, and modification processes
- Preparation and filing of application documents with SEBI
- Handling SEBI queries, clarifications, and approval processes
- Ensuring compliance with SEBI (Investment Advisers) Regulations & RA Regulations
- Managing net worth certification, documentation, and periodic filings
- Ensuring ongoing compliance reporting and regulatory submissions
2. SEBI & Broking Regulatory Compliance
- Ensure full compliance with SEBI regulations applicable to broking and intermediary activities
- Monitoring and implementing SEBI circulars and regulatory amendments
- Handling regulatory submissions to SEBI, Exchanges, Depositories
- Coordinating and managing SEBI / Exchange inspections and audits
- Overseeing investor grievance redressal (SCORES)
- Ensuring adherence to Insider Trading Regulations, AML guidelines, and surveillance requirements
- Monitoring regulatory reporting timelines and compliance certifications
3. Compliance Governance & Advisory
- Acting as compliance advisor to management on regulatory risks
- Ensuring policies and SOPs are updated as per latest SEBI guidelines
- Building compliance monitoring dashboards
- Coordinating with auditors, legal advisors, exchanges, and regulators
- Ensuring strong internal control systems across regulatory touchpoints
Skills Required
1. Domain Skills (Highest Preference)
- Hands-on experience in RA & RIA Licensing
- Strong knowledge of SEBI (Investment Adviser) Regulations
- Strong understanding of SEBI (Research Analyst) Regulations
- Working knowledge of SEBI Intermediary Compliance
- Exposure to Broking & Exchange compliance frameworks
- Experience in handling SEBI inspections and regulatory responses
- Understanding of Insider Trading Regulations & AML compliance
2. Technical Skills
- Strong documentation and drafting capability
- Regulatory reporting and compliance filing experience
- Ability to build compliance dashboards and MIS systems
- Familiarity with SEBI portals, SCORES, Exchange portals
- AI / automation exposure in compliance systems
- Advanced Excel / reporting tools proficiency
Added Advantage:
- NISM certifications relevant to Compliance / RA / RIA / Intermediary operations
3. Managerial Skills
- Strong regulatory risk judgment
- Ability to act independently with SEBI and regulators
- Strong coordination with legal, operations, and management teams
- Process-driven and detail-oriented mindset
- Ability to build scalable compliance frameworks
Ideal Candidate Profile
- 67 years of compliance experience in Financial Services
- Prior exposure to RA / RIA registration processes mandatory
- Experience in broking or intermediary environment preferred
- Strong regulatory orientation
