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 solid 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.