Job Summary

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.

Responsibilities
Intermediary Registration &
Licensing: Handling end-to-end registration applications for SEBI-registered intermediaries (RA, IA, PMS, AIF, Merchant Banker, Broker, RTA, etc.)
Handling end-to-end membership applications Stock Exchange(s) (BSE, NSE, MSEI)
Conducting eligibility assessment and gap analysis
Preparing and filing applications, annexures, declarations, undertakings, and supporting documents; and Providing responses to queries, deficiencies and observations issued by regulators or exchanges.
Advisory &
Client Interaction: Acting as a client-facing advisor, capable of: Explaining regulatory structures, categories, conditions, and compliance implications
Advising on optimal registration pathways and structuring options
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
Escalating and resolving regulatory issues through reasoned representations.

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

Qualifications

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

Job Type

Full time

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

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