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 strong attention to detail.

• Good MS Excel, Word and documentation skills.

• Strong communication skills with valuable command of English, both written and verbal.

• Ability to manage regulatory timelines, multiple tasks and follow-ups effectively.
- ? Location: Surat, Gujarat

📌 Compliance Associate (Surat)
🏢 Turtle Wealth Management Private
📍 Surat