Client Associates

8 hours ago

Gurugram, India Client Associates Full time

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

- Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI

- Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking

- Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements

Company Secretarial Support (CS)

- Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation

- Support the Compliance team in organizing and documenting board and committee meetings

General Compliance Support

- Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines

- Participate in internal audits, compliance checks, and reviews as required

- Assist in drafting, reviewing, and implementing compliance policies and procedures

- Handle ad-hoc compliance-related projects and tasks as assigned by senior management

Candidate Profile - Preferred Qualifications:

- Company Secretary (CS) qualification with 2-3 years of post-qualification experience, preferably in a compliance function.

- OR Graduate degree in Finance (minimum requirement), with 3-4 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.

(ref:iimjobs.com)

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