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Client Associates - Company Secretary - Compliance

Client Associates - Company Secretary - Compliance

Client AssociatesGurugram, India
13 days ago
Job description

We are seeking a driven and detail-oriented professional to join our Compliance team and support our growing compliance requirements. The role is ideal for a young Company Secretary (CS) with 2-3 years of relevant experience or, alternatively, a Finance Graduate with 3-4 years of Analyst / Operations experience 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 :

  • Company Secretary (CS) qualification with 2-3 years of post-qualification experience, preferably in a compliance function.
  • OR Graduate degree in Finance (minimum requirement), with 3-4 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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    Company Secretary • Gurugram, India