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 Responsibilities :
Certifications 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 accurateReview and reconcile RIA agreement fee schedules in coordination with the CAP teamEnsure that all emails and communications to RIA clients are exclusively handled by the RIA DeskParticipate in the activities of the RIA Desk and coordinate with team membersAssist with RIA regulatory reporting to SEBI, including the preparation for annual auditsSEBI Compliance and Reporting
Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBICoordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity trackingMonitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirementsCompany Secretarial Support (CS)
Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentationSupport the Compliance team in organizing and documenting board and committee meetingsGeneral Compliance Support
Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelinesParticipate in internal audits, compliance checks, and reviews as requiredAssist in drafting, reviewing, and implementing compliance policies and proceduresHandle ad-hoc compliance-related projects and tasks as assigned by senior managementCandidate 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.Skills Required
SEBI Compliance and Reporting, Certifications Management, Regulatory Agreements Administration, General Compliance Support, Company Secretarial Support
