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.