The Compliance Officer is responsible for ensuring that the Investment Adviser complies with the SEBI (Investment Advisers) Regulations, 2013, and applicable SEBI circulars and guidelines.
Key Responsibilities
• Ensure compliance with all applicable SEBI RIA regulations.
• Monitor client onboarding, KYC, risk profiling, suitability assessment, and investment advisory processes.
• Ensure proper maintenance of client records, agreements, disclosures, and compliance documentation.
• Monitor regulatory reporting, compliance audits, and timely submission of required reports.
• Handle compliance-related grievances and coordinate with SEBI and other relevant authorities.
• Identify compliance gaps, implement corrective actions, and report compliance matters to management.
• Ensure adherence to the prescribed code of conduct, conflict-of-interest requirements, and ethical advisory practices.