We are looking for a Compliance Officer to ensure regulatory compliance for our SEBI-registered Investment Adviser (IA) and Research Analyst (RA) business. The ideal candidate should have experience in financial services, particularly with SEBI regulations, and be capable of independently handling compliance-related responsibilities.

Key Responsibilities

- Ensure compliance with SEBI regulations applicable to Investment Advisers and Research Analysts.
- Handle client onboarding and review KYC documents to ensure compliance with SEBI KYC norms and applicable regulatory requirements.
- Ensure timely submission of regulatory filings, disclosures, reports, and returns.
- Review client communications, research reports, advertisements, and marketing materials from a compliance perspective.
- Coordinate with regulators, auditors, and internal stakeholders on compliance-related matters.
- Support internal audits, regulatory inspections, and compliance reviews.
- Monitor employee compliance with internal policies and the Code of Conduct.
- Maintain statutory records, compliance registers, and regulatory documentation.
- Keep track of regulatory updates and ensure timely implementation of applicable SEBI circulars and guidelines.




- Provide compliance guidance and support to various departments.

Desired Candidate Profile

- Graduate or Postgraduate in any discipline.
- NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) Certification is mandatory. Candidates who have appeared for the examination or are willing to obtain the certification shortly after joining may also be considered.
- 26 years of experience in a compliance role within the financial services industry.
- Positive knowledge of:
- SEBI (Investment Advisers) Regulations, 2013
- SEBI (Research Analysts) Regulations, 2014
- SEBI KYC Norms
- Other applicable SEBI regulations, circulars, and compliance requirements

- Experience in client onboarding, KYC verification, regulatory filings, and compliance documentation.

Preferred Qualifications

- CS (Company Secretary), LLB, CA (Inter), MBA (Finance), or other relevant compliance qualifications will be an added advantage.
- Candidates with prior experience in SEBI-registered Investment Adviser (IA) or Research Analyst (RA) entities will be preferred. Experience with other SEBI-registered intermediaries will also be considered.

Interested candidate can share their resume at [email protected]

📌 Compliance Officer (Mumbai)
🏢 StockAxis
📍 Mumbai