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

- 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

2. Managing client expectations on timelines, documentation, and regulatory risks.

- Translating complex regulations into explicit, actionable advice for the client.

3. 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

- Strong 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 professionals.

📌 Associate- Regulatory Advisory and Intermediary Registrations (New Delhi)
🏢 Corporate Professionals
📍 New Delhi