Job Description
Job Overview:
We are looking for a detail-oriented and proactive Compliance & Operations professional to manage regulatory compliance and operational processes for our SEBI-registered Investment Advisory (RIA) and Portfolio Management Services (PMS) business. The ideal candidate should have a solid understanding of SEBI regulations, operational workflows, documentation, and coordination with internal and external stakeholders.

Compliance
Key Responsibilities:
- Ensure compliance with SEBI regulations applicable to RIA and PMS businesses.
- Prepare, review, and maintain statutory records, registers, and regulatory documentation.
- Coordinate with auditors, compliance consultants, exchanges, custodians, and regulatory authorities.
- Manage regulatory filings, disclosures, and periodic reporting within prescribed timelines.
- Track regulatory updates and assist in implementing changes across the organization.
- Monitor adherence to internal compliance policies, SOPs, and governance standards.
- Support internal, statutory,



and SEBI audits by providing necessary documentation and responses.

Operations
- Manage end-to-end client onboarding, KYC verification, and account opening documentation.
- Coordinate with custodians, brokers, RTAs, banks, and other financial institutions for operational activities.
- Ensure timely execution and reconciliation of investment transactions.
- Maintain accurate client records, agreements, and operational documentation.
- Prepare MIS reports, compliance reports, operational dashboards, and management reports.
- Monitor operational risk and recommend process improvements to enhance efficiency. Resolve operational queries from internal teams and clients.

Documentation & Reporting
- Maintain agreements, client records, regulatory registers, and compliance documents.
- Prepare monthly, quarterly, and annual compliance reports.
- Ensure proper record retention in accordance with SEBI regulations.
- Assist in drafting and up

📌 Compliance and Operations Head (Mumbai)
🏢 Finnovate
📍 Mumbai