Job Title: Compliance Executive / Assistant Manager – SEBI Regulatory Compliance

The Corporate is a Mumbai-based investment advisory firm specialising in equity investment strategies and portfolio management. With over 50 years of collective investment experience, the firm focuses on identifying high-quality businesses through in-depth research and a disciplined investment approach.

Experience: 4-5 years in SEBI intermediary compliance

CTC: - upto 14LPA

Key Responsibilities

- Handle regulatory compliance for SEBI-registered intermediaries, particularly RA and IA regulations.
- Monitor and interpret SEBI regulations, circulars, master circulars and regulatory updates and assess their applicability.
- Manage regulatory filings, compliance trackers, disclosures, registers and periodic compliances.
- Handle AML/KYC compliance and related due diligence requirements.
- Draft, review and verify legal/client/vendor agreements from a regulatory and compliance perspective.
- Coordinate with Business, Operations, Legal, Finance and other departments for implementation and closure of compliance requirements.
- Handle new and emerging regulatory requirements, including conducting research,



assessing applicability and implementing the required compliance framework.
- Assist in regulatory inspections, audits, investor grievances and compliance reviews.
- Willingness to learn and handle compliance requirements across other SEBI registrations, including PMS and AIF, as and when required.

- Required Skills

- Strong understanding of the SEBI regulatory framework, particularly RA and IA regulations.
- Ability to read, interpret and implement regulatory requirements independently.
- Valuable drafting, documentation and analytical skills.
- Strong coordination and communication skills.
- Proactive approach and willingness to learn and take up additional regulatory responsibilities.

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📌 Compliance - RA ,IA , AIF and PMS (Mumbai)
🏢 Moneylicious Investments And Consulting Services Private
📍 Mumbai