Analyst/Associate - Finance & Compliance

10 hours ago

Gurgaon, Haryana, India Client Associates Full time ₹ 9,00,000 - ₹ 12,00,000 per year

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 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:

  • 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.

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