Compliance Associate

Role Description

We are looking for a Compliance Associate to support and manage regulatory compliance requirements for our SEBI-registered PMS, Research Analyst (RA), and Mutual Fund Distribution (MFD) activities. The role involves regulatory monitoring, reporting, documentation, audits, compliance tracking, and coordination with internal teams and regulatory authorities.

KRA :

• Regulatory Compliance: Ensure all applicable SEBI, RAASB, AMFI and other regulatory requirements are identified and complied with.
• Compliance Calendar: Ensure 100% tracking and timely completion of regulatory filings, submissions and recurring compliances.
• Regulatory Reporting: Ensure accurate and timely preparation and submission of regulatory reports and returns.
• Regulatory Queries & Notices: Ensure timely and accurate responses to regulatory queries, notices and information requests.
• Documentation & Records: Maintain complete and updated compliance records, approvals, filings and supporting documents.
• Content & Communication Review: Ensure client, website, social media and promotional content complies with applicable regulations.
• Audit & Inspection Support: Provide timely support for audits and ensure observations are closed within agreed timelines.
• Regulatory Updates: Identify regulatory changes and support timely implementation within the organisation.
• Internal Coordination: Ensure effective coordination with relevant departments for timely completion of compliance activities.
• Compliance Monitoring: Identify compliance gaps, track corrective actions and report significant issues to the Compliance Manager.

Required Skills

• Strong knowledge of SEBI and financial services compliance.
• Good MS Excel, Word and documentation skills.
• Strong attention to detail and accuracy.
• Excellent written and verbal English communication skills.
• Good regulatory research and analytical skills.
• Strong follow-up and deadline management skills.
• Ability to handle multiple compliance activities simultaneously.
• Good understanding of compliance documentation and record management.
• Strong coordination skills with internal teams and external stakeholders.
• Ability to identify compliance gaps and support corrective actions.
• Proactive, responsible and detail-oriented approach.
• Ability to maintain confidentiality and professional integrity.
• Ability to work effectively under strict regulatory timelines.