Compliance Officer

Job Summary We are seeking a Compliance Officer to manage day-to-day regulatory compliance for Independent Advisors Private Limited — a SEBI-Registered Investment Adviser and a PFRDA-Registered Point of Presence (PoP) for the National Pension System (NPS) — and to handle secretarial and corporate compliance. The role combines execution-level SEBI/IA compliance, PFRDA/NPS compliance, and Companies Act secretarial work, operating under the guidance of a Senior Compliance Head for regulatory audits, inspections, and matters requiring higher judgment. It is suited to a Company Secretary or compliance professional with 3–4 years of hands-on experience who is ready to independently manage routine compliance operations while escalating complex or high-stakes matters appropriately. Key Responsibilities A. SEBI / Investment Adviser Regulatory Compliance ● Act as the day-to-day Compliance Officer for IAPL under the SEBI (Investment Advisers) Regulations, 2013 and SEBI (Research Analysts) Regulations, 2014. ● Monitor and implement SEBI Master Circulars and operational guidelines for Investment Advisers, Research Analysts, including the Most Important Terms & Conditions (MITC) requirements, and incorporate them into client agreements — scope of services, fee structure, conflict-of-interest disclosures, data usage/AI disclosures, and record retention etc. ● Fee and consent compliance: track the prescribed fee ceiling for individual/HUF (non-accredited) clients, advance-fee refund timelines, and client consent requirements for execution instructions; evaluate and support onboarding to the Centralised Fee Collection Mechanism (CeFCoM) where applicable. ● Monitor client-level segregation of advisory and (if applicable) distribution activities, including PAN-based tracking, as required under the regulations. ● Annual compliance audit: coordinate the statutory compliance audit under Regulation within the prescribed timeline from financial year-end, working with the engaged Auditor and Senior Compliance Head on scoping and closure of findings, and ensure timely submission of the audit report to SEBI / IAASB (BSE). ● Ensure all client onboarding and communication records (KYC, risk profiles, consent, and timestamped call logs) are stored in the system per statutory retention guidelines. ● Own the IA compliance calendar — periodic filings, net worth certification, website and disclosure requirements, and registration renewal/maintenance with SEBI / IAASB (BSE). ● Maintain and update internal policies — code of conduct, conflict-of-interest policy, risk management policy, cyber-security framework, outsourcing policy, and data-protection practices aligned with the DPDP Act, 2023 — in consultation with the senior compliance/legal head for substantive policy changes. ● Handle investor grievances, SCORES complaints, and ODR portal matters; ensure periodic disclosure of complaint status on the website as required. ● Regulatory liaison: act as…