We are looking for a detail-oriented Compliance Associate to support day-to-day regulatory compliance activities within the financial services sector.
The role will involve regulatory monitoring, compliance reporting, documentation, audit support, compliance tracking, and coordination with internal teams to ensure timely completion of regulatory requirements.
Key Responsibilities
- Monitor applicable regulatory requirements and ensure timely compliance.
- Maintain and regularly update the compliance calendar.
- Track regulatory filings, submissions, renewals and recurring compliance activities.
- Prepare and maintain regulatory reports, returns and supporting documents.
- Assist in responding to regulatory queries, notices and information requests.
- Maintain accurate compliance records, approvals, filings and documentation.
- Review client communication, website content and promotional material for compliance requirements.
- Support internal and external audits and help track closure of audit observations.
- Monitor regulatory updates and assist in implementing applicable changes.
- Coordinate with internal departments for timely completion of compliance activities.
- Identify compliance gaps and maintain records of corrective actions.
- Escalate significant compliance issues to the Compliance Manager.
- Maintain confidentiality of sensitive business and regulatory information.
Required Skills
- Basic to good knowledge of SEBI and financial services compliance.
- Good working knowledge of MS Excel and MS Word.
- Strong documentation and record-management skills.
- Good written and verbal communication skills in English.
- Strong attention to detail and accuracy.
- Good regulatory research and analytical skills.
- Robust follow-up and deadline-management abilities.
- Ability to manage multiple tasks and compliance activities.
- Good coordination and interpersonal skills.
- Ability to identify compliance gaps and support corrective actions.
- Professional, responsible and detail-oriented approach.
- Ability to work with confidential information.
- Ability to work effectively within regulatory deadlines.
Preferred Qualifications
- Graduate degree in any relevant discipline.
- Prior experience in compliance, financial services, wealth management, mutual funds, PMS, research or related areas will be preferred.
- Familiarity with regulatory compliance processes will be an advantage.
Pay: ₹300,000.00 - ₹54,000,000.00 per year
Work Location: In person
📌 Compliance Associate (Adajan)
🏢 Elvoria Group
📍 Adajan
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