Compliance Manager

About the JobWe 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 & Responsibilities1. RA & RIA Licensing – Full OwnershipComplete end-to-end responsibility for RA & RIA registration, renewal, and modification processesPreparation and filing of application documents with SEBIHandling SEBI queries, clarifications, and approval processesEnsuring compliance with SEBI (Investment Advisers) Regulations & RA RegulationsManaging net worth certification, documentation, and periodic filingsEnsuring ongoing compliance reporting and regulatory submissions2. SEBI & Broking Regulatory ComplianceEnsure full compliance with SEBI regulations applicable to broking and intermediary activitiesMonitoring and implementing SEBI circulars and regulatory amendmentsHandling regulatory submissions to SEBI, Exchanges, DepositoriesCoordinating and managing SEBI / Exchange inspections and auditsOverseeing investor grievance redressal (SCORES)Ensuring adherence to Insider Trading Regulations, AML guidelines, and surveillance requirementsMonitoring regulatory reporting timelines and compliance certifications3. Compliance Governance & AdvisoryActing as compliance advisor to management on regulatory risksEnsuring policies and SOPs are updated as per latest SEBI guidelinesBuilding compliance monitoring dashboardsCoordinating with auditors, legal advisors, exchanges, and regulatorsEnsuring strong internal control systems across regulatory touchpointsSkills Required1. Domain Skills (Highest Preference)Hands-on experience in RA & RIA LicensingStrong knowledge of SEBI (Investment Adviser) RegulationsStrong understanding of SEBI (Research Analyst) RegulationsWorking knowledge of SEBI Intermediary ComplianceExposure to Broking & Exchange compliance frameworksExperience in handling SEBI inspections and regulatory responsesUnderstanding of Insider Trading Regulations & AML compliance2. Technical SkillsStrong documentation and drafting capabilityRegulatory reporting and compliance filing experienceAbility to build compliance dashboards and MIS systemsFamiliarity with SEBI portals, SCORES, Exchange portalsAI / automation exposure in compliance systemsAdvanced Excel / reporting tools proficiencyAdded Advantage:NISM certifications relevant to Compliance / RA / RIA / Intermediary operations3. Managerial SkillsStrong regulatory risk judgmentAbility to act independently with SEBI and regulatorsStrong coordination with legal, operations, and management teamsProcess-driven and detail-oriented mindsetAbility to build scalable compliance frameworksIdeal Candidate Profile6–7 years of compliance experience in Financial ServicesPrior exposure to RA / RIA registration processes mandatoryExperience in broking or intermediary environment preferredStrong regulatory orientation

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