Associate-Finance
Experience: 1+ years
For Quick response Kindly fill : Application Form
location : Sector 11, CBD Belapur, Navi Mumbai, Maharashtra 400614
6 days work
Interview mode : F2F in Office
Job Description
We are looking to hire motivated and detail-driven professionals who are interested in or have experience working in the compliance and regulatory advisory space for SEBI-regulated entities. As a Compliance Associate, you will work closely with a diverse set of clients and assist them in managing their day-to-day compliance responsibilities, regulatory filings, audits, and governance matters.
- Provide compliance support to clients in AIF, PMS, IA, and RA categories in line with SEBI regulations.
- Assist in the registration and onboarding process of new SEBI-registered entities.
- Prepare and review compliance checklists, reports, registers, and SOPs for clients.
- Ensure timely and accurate filing of regulatory reports and returns
- Draft and vet client-facing documents such as disclosure documents, PPMs, client agreements, and marketing materials.
- Support clients during regulatory audits, inspections, and queries from SEBI or custodians.
- Monitor regulatory updates and notify clients of relevant changes, along with impact assessments.
- Help conduct internal compliance training and awareness sessions for client teams.
- Maintain confidentiality and ensure documentation and communication meet professional standards.
Education/Experience
- Graduate/Postgraduate in Commerce, Law, Finance, or related field.
- CS, LLB, CFA, CA.
- 15 years of experience in regulatory/compliance roles, ideally with an advisory, consulting, or law firm.
- Good understanding of SEBI regulations applicable to AIF, PMS, IA, and RA.
- Strong attention to detail, analytical skills, and professional integrity.
- Excellent written and verbal communication skills.
- Comfortable with client interaction and multitasking across assignments
