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

• 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.

• Advisory & Client Interaction

• Acting as a client-facing
• advisor, capable of:
• i.Explaining regulatory structures, categories, conditions,
• and compliance implications;
• Advising on optimal
• registration pathways and structuring options; and
• Managing client expectations
• on timelines, documentation, and regulatory risks.
• Translating complex regulations
• into clear, actionable advice for the client.

• 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.