Department: Compliance | Reporting To: Compliance Manager
Industry: Wealth Management / Financial Services
We are looking for a Compliance Associate to support regulatory compliance for our SEBI-registered PMS, Research Analyst (RA) and Mutual Fund Distribution (MFD) activities.
Key Responsibilities:
• Monitor SEBI, RAASB & AMFI regulations, circulars and compliance requirements.
• Manage periodic regulatory reports/submissions, filings and compliance calendars.
• Handle and coordinate online/offline queries, notices and information requests from SEBI and other regulators, ensuring timely responses.
• Track and maintain regulatory deadlines and ensure timely completion of all compliances.
• Review client documents, disclosures, reports, website/social media and promotional content.
• Assist with regulatory research and implementation of new requirements.
• Support SEBI, RAASB,
AMFI and internal/external audits and closure of observations.
• Maintain AMFI/ARN and EUIN-related records and proper compliance documentation.
What We’re Looking For:
• Graduate/Postgraduate in Commerce, Finance, Management, Law or a related field.
• 1–3 years of compliance experience, preferably in PMS/Wealth Management/RA/MFD/Brokerage.
• Good understanding of SEBI regulations with robust attention to detail.
• Good MS Excel, Word and documentation skills.
• Strong communication skills with good command of English, both written and verbal.
• Ability to manage regulatory timelines, multiple tasks and follow-ups effectively.