Role Description

We are looking for a Compliance Associate to support and manage regulatory compliance requirements for our SEBI-registered PMS, Research Analyst (RA), and Mutual Fund Distribution (MFD) activities. The role involves regulatory monitoring, reporting, documentation, audits, compliance tracking, and coordination with internal teams and regulatory authorities.

KRA :

- Regulatory Compliance: Ensure all applicable SEBI, RAASB, AMFI and other regulatory requirements are identified and complied with.
- Compliance Calendar: Ensure 100% tracking and timely completion of regulatory filings, submissions and recurring compliances.
- Regulatory Reporting: Ensure accurate and timely preparation and submission of regulatory reports and returns.
- Regulatory Queries & Notices: Ensure timely and accurate responses to regulatory queries, notices and information requests.
- Documentation & Records: Maintain complete and updated compliance records, approvals, filings and supporting documents.
- Content & Communication Review: Ensure client, website, social media and promotional content complies with applicable regulations.
- Audit & Inspection Support: Provide timely support for audits and ensure observations are closed within agreed timelines.
- Regulatory Updates:



Identify regulatory changes and support timely implementation within the organisation.
- Internal Coordination: Ensure effective coordination with relevant departments for timely completion of compliance activities.
- Compliance Monitoring: Identify compliance gaps, track corrective actions and report significant issues to the Compliance Manager.

Required Skills

- Strong knowledge of SEBI and financial services compliance.
- Valuable MS Excel, Word and documentation skills.
- Strong attention to detail and accuracy.
- Excellent written and verbal English communication skills.
- Good regulatory research and analytical skills.
- Strong follow-up and deadline management skills.
- Ability to handle multiple compliance activities simultaneously.
- Good understanding of compliance documentation and record management.
- Strong coordination skills with internal teams and external stakeholders.
- Ability to identify compliance gaps and support corrective actions.
- Proactive, responsible and detail-oriented approach.
- Ability to maintain confidentiality and professional integrity.
- Ability to work effectively under strict regulatory timelines.

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