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
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.
Advisory & Client Interaction
Acting as a client-facing
advisor, capable of:

i. Explaining regulatory structures, categories, conditions,




and compliance implications;
Advising on optimal
registration pathways and structuring options; and
Managing client expectations
on timelines, documentation, and regulatory risks.

Translating complex regulations
into explicit, actionable advice for the client.
Communication with Authority & Regulatory Handling
Direct interaction with SEBI
departments, Stock exchanges and other regulatory bodies as required;
Handling formal correspondence,
portal-based communication, and follow-ups; and
Escalating and resolving
regulatory issues through reasoned representations.

Requirements
Our Expectations
Solid working knowledge of
SEBI intermediary ecosystem;
Comfort with regulatory portals;
Ability to independently manage
multiple registrations;
Sharp documentation, drafting,
and representation skills; and
Commercial awareness while
advising clients

Qualification

CS,
LL.B., or NISM-certified specialists.

📌 Associate Regulatory Advisory And Intermediary Registrations New Delhi
🏢 Corporate Professionals
📍 New Delhi