Senior Associate – Regulatory Compliance
Company: Qode Advisors LLP
Location: Mumbai, Maharashtra
Department: Compliance
Experience: 5–8 years
Employment Type: Full-time
Reporting To: Management
About QODE
QODE is a quantitative investment management and financial services firm focused on research-driven investment strategies, portfolio management and long-term wealth creation. The firm serves high-net-worth individuals, family offices and other investors through investment management solutions.
As QODE expands its investment management platform across multiple fund structures and regulated activities, building a robust, scalable and well-integrated compliance framework is a key priority.
Role Overview
We are looking for a Senior Associate – Regulatory Compliance with a robust understanding of the Indian securities market regulatory framework and hands-on experience working with SEBI-registered intermediaries.
The ideal candidate will have experience across multiple regulatory frameworks, including Portfolio Management Services (PMS),
Alternative Investment Funds (AIFs), Investment Advisers (IAs) and Research Analysts (RAs).
A key responsibility of this role will be to develop, implement and maintain regulatory policies, procedures and internal control frameworks applicable to QODE's various registrations and business activities. The candidate should be capable of identifying applicable regulatory requirements, drafting policies from the ground up, coordinating their approval and implementation, and ensuring that they remain current as regulations and business activities evolve.
In addition to policy development, the role will involve regulatory interpretation, compliance monitoring, statutory filings, investor due diligence, audit coordination and ongoing regulatory risk management.
We are looking for someone who combines regulatory knowledge with strong execution capabilities, independent ownership and sound judgement, and who can contribute to buil
📌 Senior Associate (Mumbai)
🏢 Qode
📍 Mumbai