Finance compliance Executive

Associate-Finance

Experience : 1-5 years

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location : Sector 11, CBD Belapur, Navi Mumbai, Maharashtra 400614

6 days work

Interview mode : F2F in Office

Job Description

We are looking to hire motivated and detail-driven professionals who are interested in or have experience working in the compliance and regulatory advisory space for SEBI-regulated entities. As a Compliance Associate, you will work closely with a diverse set of clients and assist them in managing their day-to-day compliance responsibilities, regulatory filings, audits, and governance matters.

Provide compliance support to clients in AIF, PMS, IA, and RA categories in line with SEBI regulations.

Assist in the registration and onboarding process of new SEBI-registered entities.

Prepare and review compliance checklists, reports, registers, and SOPs for clients.

Ensure timely and accurate filing of regulatory reports and returns

Draft and vet client-facing documents such as disclosure documents, PPMs, client agreements, and marketing materials.

Support clients during regulatory audits, inspections, and queries from SEBI or custodians.

Monitor regulatory updates and notify clients of relevant changes, along with impact assessments.

Help conduct internal compliance training and awareness sessions for client teams.

Maintain confidentiality and ensure documentation and communication meet professional standards.

Education / Experience

Graduate / Postgraduate in Commerce, Law, Finance, or related field.

CS, LLB, CFA, CA.

1–5 years of experience in regulatory / compliance roles, ideally with an advisory, consulting, or law firm.

Good understanding of SEBI regulations applicable to AIF, PMS, IA, and RA.

Strong attention to detail, analytical skills, and professional integrity.

Excellent written and verbal communication skills.

Comfortable with client interaction and multitasking across assignments