Client Associates - Company Secretary - Compliance

• 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
  

• 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
  

• 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
  

• 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.