Associate- Regulatory Advisory and Intermediary Registrations

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.

Key Responsibilities

1. Intermediary Registration & Licensing:

i.                 Handling end-to-end registration applications for SEBI-registered intermediaries (RA, IA, PMS, AIF, Merchant Banker, Broker, RTA, etc.);

ii.                Handling end-to-end membership applications Stock Exchange(s) (BSE, NSE, MSEI);

iii.              Conducting eligibility assessment and gap analysis;

iv.              Preparing and filing applications, annexures, declarations, undertakings, and supporting documents; and

v.                Providing responses to queries, deficiencies and observations issued by regulators or exchanges.

2. Advisory & Client Interaction

• Acting as a client-facing advisor, capable of:

i.       Explaining regulatory structures, categories, conditions, and compliance implications;

2. Advising on optimal registration pathways and structuring options; and
3. Managing client expectations on timelines, documentation, and regulatory risks.

• Translating complex regulations into clear, actionable advice for the client.

3. 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; and
• Escalating and resolving regulatory issues through reasoned representations.

Requirements

Our Expectations

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

Qualification

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