Found 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 regulatory updates and assist in implementing changes across the organization. Monitor adherence to internal compliance policies, SOPs, and governance standards. Suppo...