Compliance Manager

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 Responsibi...