Job Overview: We are looking for a detail-oriented and proactive Compliance & Operations professional to manage regulatory compliance and operational processes for our SEBI-registered Investment Advisory (RIA) and Portfolio Management Services (PMS) business. The ideal candidate should have a strong understanding of SEBI regulations, operational workflows, documentation, and coordination with internal and external stakeholders.

Key Responsibilities:

Compliance:

• Ensure compliance with SEBI regulations applicable to RIA and PMS businesses.
  
• Prepare, review, and maintain statutory records, registers, and regulatory documentation.
  
• Coordinate with auditors, compliance consultants, exchanges, custodians, and regulatory authorities.
  
• Manage regulatory filings, disclosures, and periodic reporting within prescribed timelines.
  
• Track regulatory updates and assist in implementi...