Deven Choksey
Website:
devenchoksey.com
Job details:
About the Job
We are seeking a highly proactive and regulation-driven Compliance Officer who will take complete ownership of RA (Research Analyst) and RIA (Registered Investment Adviser) compliance, along with SEBI regulatory governance, advertisement control, digital compliance, cyber grievance management, and intermediary regulatory monitoring.
The role requires hands-on experience in SEBI (Investment Adviser) and SEBI (Research Analyst) Regulations, regulatory reporting, audit readiness, advertisement approvals, and website/social media compliance. The candidate must bring a structured, technology-enabled, and AI-driven approach to compliance governance.
This is a regulatory-critical role requiring strong drafting skills, daily regulatory monitoring discipline, and active coordination with SEBI, Exchanges, Mutual Funds, and other intermediaries.
Roles & Responsibilities
1. RA & RIA Regulatory Compliance (Core Responsibility)
- Complete ownership of SEBI (Investment Adviser) Regulations & SEBI (Research Analyst) Regulations
- Handling RA & RIA registration, modifications, renewals, and regulatory submissions
- Managing regulatory filings, compliance certificates, and disclosures
- Maintaining compliance registers and documentation
- Handling RA/PO (Principal Officer) changes and regulatory intimations
- Managing process for Change in Compliance Officer and regulatory filings
- Coordinating with SEBI for queries, clarifications, and inspections
- Ensuring audit readiness at all times
2. Cyber & Grievance Compliance
- Handling Cyber Fraud Complaints
- Filing and managing Fake Social Media Account Cyber Complaints
- Managing investor complaints through SCORES Portal
- Ensuring timely redressal and response submissions
- Maintaining complaint MIS and regulatory tracking
3. Advertisement & Communication Compliance
- Drafting Advertisement Code for:
- Research Analyst
- Mutual Fund Distribution
- PMS (Advertisement review only – no PMS compliance responsibility)
- Drafting all advertisement documents
- Submitting advertisements to BSE for approval and follow-up
- Reviewing and approving:
- Mutual Fund & PMS advertisements
- Social Media advertisements
- Research updates before publishing
- Research reports prior to circulation
- Important Notes (IMP Notes) before release
- Ensuring advertisement compliance as per SEBI circulars & IA/RA Regulations
- Maintaining advertisement approval records
4. Digital & Website Compliance
- Ensuring full Website Compliance under SEBI IA & RA Regulations
- Reviewing disclaimers, risk disclosures, and policy documents
- Monitoring content accuracy and regulatory alignment
- Reviewing daily morning research updates before publishing
- Monitoring social media communications for regulatory adherence
5. Regulatory Monitoring & Governance
- Daily monitoring of SEBI Circulars
- Implementing regulatory updates within the organization
- Drafting and updating compliance policies
- Conducting internal awareness sessions on regulatory updates
- Maintaining compliance calendar & automated tracking systems
- Ensuring branch registration documentation & vesting readiness for audit
- Drafting branch registration documents and ensuring audit preparedness
6. Intermediary & Operational Compliance
- CKYC Registration handling
- Kotak Mutual Fund account opening compliance review
- Ensuring AMFI Code adherence
- Monitoring Mutual Fund distribution regulatory compliance
- Coordinating with BSE/Exchanges for approvals and submissions
- Ensuring documentation readiness for internal and regulatory audits
7. AI-Driven Compliance Approach
- Implement AI-based tools for:
- Daily SEBI circular tracking
- Advertisement compliance review automation
- Regulatory deadline monitoring
- Compliance dashboard generation
- Risk flagging systems
- Automating compliance calendar and reporting mechanisms
- Building real-time compliance monitoring dashboards
Skills Required
1. Domain Skills (Highest Preference)
- Strong hands-on experience in:
- SEBI Investment Adviser Regulations
- SEBI Research Analyst Regulations
- Experience in advertisement compliance under SEBI norms
- Experience in SCORES complaint handling
- Understanding of AMFI guidelines
- Knowledge of CKYC and intermediary compliance
- Experience in regulatory audit coordination
- Familiarity with cyber complaint mechanisms
- Understanding of Insider Trading & AML basics
2. Technical Skills
- Strong drafting & documentation skills
- Regulatory filing experience (SEBI / BSE / SCORES portals)
- Website compliance review capability
- Advertisement vetting capability
- Strong MS Excel & compliance MIS skills
- Experience with compliance tracking systems
- AI-driven compliance tool exposure preferred
Added Advantage:
- NISM certifications related to RA / RIA / Compliance / Mutual Fund Distribution
3. Managerial Skills
- Strong regulatory judgment
- Independent handling of SEBI matters
- Detail-oriented and process-driven mindset
- Ability to coordinate across marketing, research, operations, and management
- Strong written & verbal communication skills
- High integrity and confidentiality standards
Ideal Candidate Profile
- 5–12 years of experience in RA/RIA Compliance
- Experience in financial services / advisory / broking environment
- Strong regulatory drafting background
- Proactive compliance monitoring mindset
- Technology-oriented approach to governance
Click on Apply to know more.