Financial Compliance Specialist

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