Client Associates - Analyst/Associate - Finance & ComplianceClient Associates • Gurgaon, India

Client Associates - Analyst / Associate - Finance & Compliance

Client Associates • Gurgaon, India

30+ days ago

Job description

We are seeking a driven and detail-oriented professional to join our Compliance team and support our growing finance & compliance requirements. The role is ideal for someone with 1-3 years of relevant experience in Finance who is motivated to develop a career specifically in Compliance (not in Advisory or Revenue roles).

Key Management

Coordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams
Follow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements
Maintain updated records of all certifications and communicate updates to relevant stakeholders

Regulatory Agreements Administration (RIA)

Maintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate

Review and reconcile RIA agreement fee schedules in coordination with the CAP team

Ensure that all emails and communications to RIA clients are exclusively handled by the RIA Desk

Participate in the activities of the RIA Desk and coordinate with team members

Assist with RIA regulatory reporting to SEBI, including the preparation for annual audits

SEBI Compliance and Reporting

Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI

Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking

Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements

Company Secretarial Support (CS)

Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation

Support the Compliance team in organizing and documenting board and committee meetings

General Compliance Support

Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines

Participate in internal audits, compliance checks, and reviews as required

Assist in drafting, reviewing, and implementing compliance policies and procedures

Handle ad-hoc compliance-related projects and tasks as assigned by senior management

Candidate Profile - Preferred Qualifications :

Graduate degree in Finance (minimum requirement), with 2-4 years of relevant experience in an Analyst or Operations role and a strong desire to build a career in Compliance.

Experience or exposure to SEBI, RIA, PMS, and related regulatory compliance processes is highly desirable.

Familiarity with the regulatory environment for financial services, investment advisory, and asset management organizations.

Strong organizational skills and an ability to manage multiple priorities efficiently.

(ref : iimjobs.com)

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Compliance Associate • Gurgaon, India

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