Role Objective:
To support the Compliance Officer in ensuring adherence to SEBI regulations (PMS, RA, AIF) and provide secretarial assistance for smooth functioning of compliance and governance processes.
Key Responsibilities:
Assist in regulatory filings, record-keeping, and compliance checklists under SEBI guidelines.
Maintain and update investor documents, agreements, registers, and compliance trackers.
Draft, file, and organize compliance-related correspondence, minutes of meetings, and audit documents.
Prepare reports/MIS for internal use and support responses to SEBI/auditors.
Provide secretarial assistance scheduling meetings, preparing agendas, drafting minutes, coordinating with stakeholders.
Keep track of circulars, regulatory updates, and timely reminders for filings/renewals.
Skills & Qualifications:
02 years of experience in compliance/secretarial support, preferably in financial services.
Graduate in Commerce/Law/Finance; NISM certifications preferred.
Basic understanding of SEBI regulations (PMS, RA, AIF).
Good documentation and communication, drafting, and organizational skills.
Proficiency in MS Office and comfort with regulatory reporting formats.
