About the role
Role Overview: We
are seeking a focused individual to act as a single-point regulatory specialist
for end-to-end intermediary registrations and allied licensing matters across
SEBI, Stock Exchanges, and other relevant statutory authorities. The role
requires hands-on execution, regulatory judgment, client advisory, and
interaction with authorities.
Key Responsibilities
1. Intermediary Registration &
Licensing:
i.Handling end-to-end registration
applications for SEBI-registered intermediaries (RA, IA, PMS, AIF, Merchant Banker,
Broker, RTA, etc.);
ii.Handling end-to-end membership
applications Stock Exchange(s) (BSE, NSE, MSEI);
iii.Conducting eligibility assessment
and gap analysis;
iv.Preparing and filing applications,
annexures, declarations, undertakings, and supporting documents; and
v.Providing responses to queries,
deficiencies and observations issued by regulators or exchanges.
2. Advisory & Client Interaction
- Acting as a client-facing
advisor, capable of:
i.Explaining regulatory structures, categories, conditions,
and compliance implications;
- Advising on optimal
registration pathways and structuring options; and
- Managing client expectations
on timelines, documentation, and regulatory risks.
- Translating complex regulations
into clear, actionable advice for the client.
3. Communication with Authority & Regulatory Handling
- Direct interaction with SEBI
departments, Stock exchanges and other regulatory bodies as required;
- Handling formal correspondence,
portal-based communication, and follow-ups; and
- Escalating and resolving
regulatory issues through reasoned representations.
Requirements
Our Expectations
- Strong working knowledge of
SEBI intermediary ecosystem;
- Comfort with regulatory portals;
- Ability to independently manage
multiple registrations;
- Sharp documentation, drafting,
and representation skills; and
- Commercial awareness while
advising clients
Qualification
CS,
LL.B., or NISM-certified professionals.