Job Description
Job Overview:
We are looking for a detail-oriented and proactive Compliance & Operations skilled 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