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;
- 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.
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.
Skills Required
- Strong working knowledge of the SEBI intermediary ecosystem
- Comfort with regulatory portals
- Ability to independently manage multiple registrations
- Strong documentation, drafting, and representation skills
- Commercial awareness when advising clients
- CS qualification
- LL.B. qualification
- NISM certification
What We Do
Corporate Professionals is an Indian corporate law and advisory group providing integrated legal, techno-legal, financial, compliance, and corporate consulting services. Its work spans company and insolvency law, securities laws, restructuring, taxation, business setup, regulatory approvals, investment banking, transaction advisory, funding, valuation, and business modeling. The group also operates a SEBI-registered merchant-banking business and supports companies with complex transactions and governance needs.
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