Compliance Officer

Job Title: Compliance Associate
Department: Compliance
Industry: Financial Services / Wealth Management

Job Summary

We are looking for a detail-oriented Compliance Associate to support regulatory compliance, reporting, documentation, and audit-related activities within the financial services industry.

The candidate will assist in monitoring applicable regulatory requirements, maintaining compliance records, tracking filing deadlines, reviewing business communications, and coordinating with internal teams to ensure compliance activities are completed accurately and on time.

Key Responsibilities

• Monitor applicable regulatory guidelines and assist with compliance requirements relevant to financial services operations.
• Maintain a compliance calendar and track deadlines for periodic filings, reports, and regulatory submissions.
• Assist in preparing and maintaining regulatory reports, returns, declarations, and supporting documents.
• Support responses to regulatory queries and information requests by coordinating with relevant internal teams.
• Maintain accurate and organised records of compliance activities, approvals, policies, and filings.
• Review website content, client communications, social media posts, and promotional materials against applicable compliance guidelines.
• Assist with internal and external audits, inspections, and compliance reviews.
• Track audit observations, follow up on corrective actions, and report pending issues to the reporting manager.
• Monitor relevant regulatory updates and assist with implementing changes to internal compliance processes.
• Coordinate with internal departments to ensure timely completion of compliance-related activities.
• Identify potential compliance gaps and escalate concerns to the appropriate authority.
• Handle confidential information responsibly and maintain professional standards.

Required Skills and Qualifications

• 1–2 years of experience in compliance or a related role within financial services, wealth management, investment services, or capital markets.
• Basic to good understanding of applicable SEBI regulations and financial services compliance requirements.
• Knowledge of regulatory reporting, compliance documentation, and audit support processes.
• Proficiency in MS Excel and MS Word.
• Strong written and verbal communication skills in English.
• Good research, analytical, and problem-solving skills.
• Strong attention to detail and accuracy.
• Ability to manage multiple tasks, deadlines, and follow-ups.
• Good coordination and documentation skills.
• Ability to maintain confidentiality and handle sensitive business information professionally.

Pay: ₹300,000.00 - ₹700,000.00 per year

Work Location: In person