Client Associates - Company Secretary - Compliance

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

Company Secretarial Support (CS)

General Compliance Support

Candidate Profile -

Preferred Qualifications :

(ref : iimjobs.com)