Job Description
Job Description
Job Overview: We are looking for a detail-oriented and proactive Compliance & Operations professional to manage regulatory compliance and operational processes for our SEBI-registered Investment Advisory (RIA) and Portfolio Management Services (PMS) business. The ideal candidate should have a strong understanding of SEBI regulations, operational workflows, documentation, and coordination with internal and external stakeholders.
Key Responsibilities:
Compliance:
- Ensure compliance with SEBI regulations applicable to RIA and PMS businesses.
- Prepare, review, and maintain statutory records, registers, and regulatory documentation.
- Coordinate with auditors, compliance consultants, exchanges, custodians, and regulatory authorities.
- Manage regulatory filings, disclosures, and periodic reporting within prescribed timelines.
- Track regul...