Job Summary

We are seeking a Compliance Officer to manage day-to-day regulatory compliance for Independent Advisors Private Limited - a SEBI-Registered Investment Adviser and a PFRDA-Registered Point of Presence (PoP) for the National Pension System (NPS) - and to handle secretarial and corporate compliance. The role combines execution-level SEBI/IA compliance, PFRDA/NPS compliance, and Companies Act secretarial work, operating under the guidance of a Senior Compliance Head for regulatory audits, inspections, and matters requiring higher judgment. It is suited to a Company Secretary or compliance professional with 3-4 years of hands-on experience who is ready to independently manage routine compliance operations while escalating complex or high-stakes matters appropriately.

Key Responsibilities

A. SEBI / Investment Adviser Regulatory Compliance

Act as the day-to-day Compliance Officer for IAPL under the SEBI (Investment Advisers) Regulations, 2013 and SEBI (Research Analysts) Regulations, 2014.

Monitor and implement SEBI Master Circulars and operational guidelines for Investment Advisers, Research Analysts, including the Most Important Terms Conditions (MITC) requirements, and incorporate them into client agreements - scope of services, fee structure, conflict-of-interest disclosures, data usage/AI disclosures, and record retention etc.

Fee and consent compliance: track the prescribed fee ceiling for individual/HUF (non-accredited) clients, advance-fee refund timelines, and client consent requirements for execution instructions; evaluate and support onboarding to the Centralised Fee Collection Mechanism (CeFCoM) where applicable.

Monitor client-level segregation of advisory and (if applicable) distribution activities, including PAN-based tracking, as required under the regulations.

Annual compliance audit: coordinate the statutory compliance audit under Regulation within the prescribed timeline from financial year-end, working with the engaged Auditor and Senior Compliance Head on scoping and closure of findings, and ensure timely submission of the audit report to SEBI / IAASB (BSE).

Ensure all client onboarding and communication records (KYC, risk profiles, consent, and timestamped call logs) are stored in the system per statutory retention guidelines.

Own the IA compliance calendar - periodic filings, net worth certification, website and disclosure requirements, and registration renewal/maintenance with SEBI / IAASB (BSE).

Maintain and update internal policies - code of conduct, conflict-of-interest policy, risk management policy, cyber-security framework, outsourcing policy, and data-protection practices aligned with the DPDP Act, 2023 - in consultation with the senior compliance/legal head for substantive policy changes.

Handle investor grievances, SCORES complaints, and ODR portal matters; ensure periodic disclosure of complaint status on the website as required.

Regulatory liaison: act as the first point of contact with SEBI, IAASB (BSE), statutory auditors,



and external legal counsel for routine correspondence and filings; escalate and support the senior compliance head and principal officer on regulatory inspections, show-cause matters, or adverse findings.

T rack new circulars, consultation papers, and amendments; flag business impact to the senior compliance head and drive implementation of agreed changes.

Review marketing, website, and social media content for compliance with the SEBI Advertisement Code and submit the application for Advertisement approval SEBI IARA Portal.

B. Secretarial Corporate Compliance

Ensure compliance with the Companies Act, 2013 - convening Board, Committee, and General Meetings, and preparing notices, agendas, minutes, and resolutions.

Maintain statutory registers and records (Register of Members, Directors, Charges, etc.) for each entity.

Handle ROC/MCA filings - Annual Return (MGT-7/7A), Financial Statements (AOC-4), event-based filings (DIR-12, PAS-3, MGT-14, SH-7, CHG-1/CHG-4, etc.), DIR-3 KYC, DPT-3, and MSME-1 where relevant.

Coordinate Board approvals for related-party transactions (Section 188) and inter-corporate loans/investments (Section 186), and other matters requiring Board or shareholder sign-off.

S upport share allotments, transfers, and cap-table/shareholding record maintenance across group entities.

Coordinate with the Company Secretary in Practice / Secretarial Auditor (where externally engaged) for certifications and secretarial audit, if applicable.

Draft and maintain Board resolutions, powers of attorney, and authorisations (e.g., for banking, property transactions, and statutory filings).

Support review of vendor agreements, SLAs, and MOUs in coordination with the accounts and legal function.

C. PFRDA / NPS (Point of Presence) Compliance ( Operations Not Yet Commenced )

Ensure IAPLs compliance with the PFRDA (Point of Presence) Regulations, 2018 (as amended) and related PFRDA circulars and operational guidelines applicable to its registration as a Point of Presence (PoP) for the National Pension System (NPS), including NPS Vatsalya and NPS Lite where applicable.

Maintain IAPLs obligations as a Reporting Entity under PMLA in respect of NPS subscribers - KYC/CKYC verification, subscriber due diligence, and reporting to FIU-IND.

Monitor subscriber onboarding, contribution processing, and instruction-transmission processes carried out through IAPLs PoP network (including any POP-SP branches or empanelled pension agents) for adherence to PFRDA guidelines.

Handle NPS subscriber grievances through the prescribed channels (including the PFRDA grievance portal) and ensure timely redressal and record-keeping.

Track PFRDA circulars, audits, and inspections of PoPs, and coordinate closure of any observations,



escalating complex matters to the senior compliance/legal head.

Monitor charge-structure disclosures and any technology-platform requirements (e.g., PFRDA-approved NPS platforms) applicable to IAPLs PoP operations.

D. Governance, Risk Cross-functional Coordination

Present periodic compliance status reports and risk dashboards to the Board/Management.

Build and maintain a consolidated compliance tracker/calendar spanning SEBI and Companies Act obligations across all group entities.

Collaborate with the Accounts, Sales, Legal, Operations, and Technology teams to embed compliance requirements into business processes and client-facing documentation.

Drive periodic compliance training and awareness sessions for relevant teams (if needed).

Qualifications Experience

Company Secretary (ACS, ICSI) preferred; candidates who are semi-qualified (CS Executive/Qualified) with strong relevant experience will also be considered. An additional law degree (LLB) is an advantage.

3-4 years of relevant experience, with meaningful exposure to SEBI-Registered Intermediaries (Investment Adviser / Research Analyst / PMS / Broking) and hands-on secretarial/ROC compliance work. Exposure to PFRDA/NPS compliance (e.g., at a Point of Presence, bank, or NPS intermediary) is a strong plus.

Required Skills

Working knowledge of the SEBI (Investment Advisers) Regulations, 2013, SEBI (Research Analysts) Regulations, 2014, related Master Circulars, and current operational guidelines (MITC, fee norms, CeFCoM, client segregation).

Working knowledge of the PFRDA (Point of Presence) Regulations, 2018 and related NPS operational/PMLA-KYC requirements is a strong plus.

Sound knowledge of the Companies Act, 2013, ROC/MCA e-filing processes, and secretarial practice.

Exposure to compliance audits and regulatory filings; ability to competently handle routine SEBI/BSE/BASL/ROC correspondence and escalate complex matters appropriately.

Good drafting skills for policies, client agreements, board resolutions, and regulatory disclosures.

High attention to detail and the ability to independently track multiple regulatory deadlines across entities.

Good stakeholder management and communication skills to work across sales, accounts, legal, and leadership.

Working knowledge of data-protection (DPDP Act, 2023) and cyber-security compliance frameworks is a plus.

Good to Have

Experience with CRM/compliance-tracking tools.

NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) certification.

NISM-Series-III-C: Securities Intermediaries Compliance (Fund) Certification.

Selection Process

Aptitude Assessment Round

Technical Round

Operations Round

HR Round (if required)

Work Schedule Location

Work from Office: Monday to Friday

Week Off: Saturdays Sundays fixed Off

Required Skills

Investment MIS

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.

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