Compliance Manager

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

• Looking to get Placed? Try our Placement Guarantee Plan

  Get Hired
  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