Job Description
About the Job
We are seeking a highly proactive and regulation-driven Compliance Officer who will take complete ownership of RA (Research Analyst) and RIA (Registered Investment Adviser) compliance , along with SEBI regulatory governance, advertisement control, digital compliance, cyber grievance management, and intermediary regulatory monitoring.
The role requires hands-on experience in SEBI (Investment Adviser) and SEBI (Research Analyst) Regulations, regulatory reporting, audit readiness, advertisement approvals, and website/social media compliance. The candidate must bring a structured, technology-enabled, and AI-driven approach to compliance governance.
This is a regulatory-critical role requiring strong drafting skills, daily regulatory monitoring discipline, and active coordination with SEBI, Exchanges, Mutual Funds, and other intermediaries.
Roles & Responsibilities
1. RA & RIA Regulatory Compliance (Core Responsibility)
Complete ownership of SEBI (Investment ...
We are seeking a highly proactive and regulation-driven Compliance Officer who will take complete ownership of RA (Research Analyst) and RIA (Registered Investment Adviser) compliance , along with SEBI regulatory governance, advertisement control, digital compliance, cyber grievance management, and intermediary regulatory monitoring.
The role requires hands-on experience in SEBI (Investment Adviser) and SEBI (Research Analyst) Regulations, regulatory reporting, audit readiness, advertisement approvals, and website/social media compliance. The candidate must bring a structured, technology-enabled, and AI-driven approach to compliance governance.
This is a regulatory-critical role requiring strong drafting skills, daily regulatory monitoring discipline, and active coordination with SEBI, Exchanges, Mutual Funds, and other intermediaries.
Roles & Responsibilities
1. RA & RIA Regulatory Compliance (Core Responsibility)
Complete ownership of SEBI (Investment ...
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