Private Banking Compliance - RIA

Client Associates (CA) is India's first and largest Multi Family Office Firm founded by Senior Private Bankers to provide a professional platform of Private Wealth Management services in India.

Today Client Associates is recognized by private clients and the industry at large as not only the Pioneers of Family Office in India but also as one of the Best Team of Private Bankers in India. Over the last decade, CA has been awarded as the best Wealth Management firm across categories:

1.Winner Best Multi Family Office In India at the AIWMI, India Wealth Awards 2018

2.Winner of CNBC TV-18 Best Financial Advisors Award 2015, 2014, 2012,

2009, & 2008

3.Winner of Citywealth Asian Family Office of the Year,2011

Ranked 2nd by Private Banker International as the Outstanding Wealth Manager for Family Office Services Globally 2011 &2009

Job Overview -

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 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 Responsibilities -

Certifications Management

oCoordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams

oFollow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements

oMaintain updated records of all certifications and communicate updates to relevant stakeholders

Regulatory Agreements Administration (RIA)

oMaintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate

oReview and reconcile RIA agreement fee schedules in coordination with the CAP team

oEnsure that all emails and communications to RIA clients are exclusively handled by the RIA Desk

oParticipate in the activities of the RIA Desk and coordinate with team members

oAssist with RIA regulatory reporting to SEBI, including the preparation for annual audits

SEBI Compliance and Reporting

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

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

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

Company Secretarial Support (CS)

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

oSupport the Compliance team in organizing and documenting board and committee meetings.

oGeneral Compliance Support

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

oParticipate in internal audits, compliance checks, and reviews as required

oAssist in drafting, reviewing, and implementing compliance policies and procedures

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

Preferred Qualifications

Must have - NISM 10A, NISM 10B certification

Good to have - NISM 21A, NISM 21B certification

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