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 Responsibility)

• Complete ownership of SEBI (Investment Adviser) Regulations & SEBI (Research Analyst) Regulations
• Handling RA & RIA registration, modifications, renewals, and regulatory submissions
• Managing regulatory filings, compliance certificates, and disclosures
• Maintaining compliance registers and documentation
• Handling RA/PO (Principal Officer) changes and regulatory intimations
• Managing process for Change in Compliance Officer and regulatory filings
• Coordinating with SEBI for queries, clarifications, and inspections
• Ensuring audit readiness at all times

2. Cyber & Grievance Compliance

• Handling Cyber Fraud Complaints
• Filing and managing Fake Social Media Account Cyber Complaints
• Managing investor complaints through SCORES Portal
• Ensuring timely redressal and response submissions
• Maintaining complaint MIS and regulatory tracking

3. Advertisement & Communication Compliance

• Drafting Advertisement Code for:
• Research Analyst
• Mutual Fund Distribution
• PMS (Advertisement review only – no PMS compliance responsibility)
• Drafting all advertisement documents
• Submitting advertisements to BSE for approval and follow-up
• Reviewing and approving:
• Mutual Fund & PMS advertisements
• Social Media advertisements
• Research updates before publishing
• Research reports prior to circulation
• Important Notes (IMP Notes) before release
• Ensuring advertisement compliance as per SEBI circulars & IA/RA Regulations
• Maintaining advertisement approval records

4. Digital & Website Compliance

• Ensuring full Website Compliance under SEBI IA & RA Regulations
• Reviewing disclaimers, risk disclosures, and policy documents
• Monitoring content accuracy and regulatory alignment
• Reviewing daily morning research updates before publishing
• Monitoring social media communications for regulatory adherence

5. Regulatory Monitoring & Governance

• Daily monitoring of SEBI Circulars
• Implementing regulatory updates within the organization
• Drafting and updating compliance policies
• Conducting internal awareness sessions on regulatory updates
• Maintaining compliance calendar & automated tracking systems
• Ensuring branch registration documentation & vesting readiness for audit
• Drafting branch registration documents and ensuring audit preparedness

6. Intermediary & Operational Compliance

• CKYC Registration handling
• Kotak Mutual Fund account opening compliance review
• Ensuring AMFI Code adherence
• Monitoring Mutual Fund distribution regulatory compliance
• Coordinating with BSE/Exchanges for approvals and submissions
• Ensuring documentation readiness for internal and regulatory audits

7. AI-Driven Compliance Approach

• Implement AI-based tools for:
• Daily SEBI circular tracking
• Advertisement compliance review automation
• Regulatory deadline monitoring
• Compliance dashboard generation
• Risk flagging systems
• Automating compliance calendar and reporting mechanisms
• Building real-time compliance monitoring dashboards

Skills Required

1. Domain Skills (Highest Preference)

• Strong hands-on experience in:
• SEBI Investment Adviser Regulations
• SEBI Research Analyst Regulations
• Experience in advertisement compliance under SEBI norms
• Experience in SCORES complaint handling
• Understanding of AMFI guidelines
• Knowledge of CKYC and intermediary compliance
• Experience in regulatory audit coordination
• Familiarity with cyber complaint mechanisms
• Understanding of Insider Trading & AML basics

2. Technical Skills

• Strong drafting & documentation skills
• Regulatory filing experience (SEBI / BSE / SCORES portals)
• Website compliance review capability
• Advertisement vetting capability
• Strong MS Excel & compliance MIS skills
• Experience with compliance tracking systems
• AI-driven compliance tool exposure preferred

Added Advantage:

• NISM certifications related to RA / RIA / Compliance / Mutual Fund Distribution

3. Managerial Skills

• Strong regulatory judgment
• Independent handling of SEBI matters
• Detail-oriented and process-driven mindset
• Ability to coordinate across marketing, research, operations, and management
• Strong written & verbal communication skills
• High integrity and confidentiality standards

Ideal Candidate Profile

• 5–12 years of experience in RA/RIA Compliance
• Experience in financial services / advisory / broking environment
• Strong regulatory drafting background
• Proactive compliance monitoring mindset
• Technology-oriented approach to governance