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
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Acting as a client-facing advisor, capable of:
i. Explaining regulatory structures, categories, conditions, and compliance implications;
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Advising on optimal registration pathways and structuring options; and
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Managing client expectations on timelines, documentation, and regulatory risks.
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Translating complex regulations into clear, actionable advice for the client.
3. Communication with Authority & Regulatory Handling
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Direct interaction with SEBI departments, Stock exchanges and other regulatory bodies as required;
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Handling formal correspondence, portal-based communication, and follow-ups; and
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Escalating and resolving regulatory issues through reasoned representations.
