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Client Associates - Analyst/Associate - Finance & Compliance Job Opening In Gurugram – Now Hiring Client Associates


Job description

<p>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).<br/><br/><b>Key Management<br/><br/>- Coordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams<br/><br/>- Follow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements<br/><br/>- Maintain updated records of all certifications and communicate updates to relevant stakeholders<br/><br/>Regulatory Agreements Administration (RIA)<br/><br/>- Maintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate<br/><br/>- Review and reconcile RIA agreement fee schedules in coordination with the CAP team<br/><br/>- Ensure that all emails and communications to RIA clients are exclusively handled by the RIA Desk<br/><br/>- Participate in the activities of the RIA Desk and coordinate with team members<br/><br/>- Assist with RIA regulatory reporting to SEBI, including the preparation for annual audits<br/><br/>SEBI Compliance and Reporting<br/><br/>- Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI<br/><br/>- Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking<br/><br/>- Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements<br/><br/>Company Secretarial Support (CS)<br/><br/>- Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation<br/><br/>- Support the Compliance team in organizing and documenting board and committee meetings<br/><br/>General Compliance Support<br/><br/>- Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines<br/><br/>- Participate in internal audits, compliance checks, and reviews as required<br/><br/>- Assist in drafting, reviewing, and implementing compliance policies and procedures<br/><br/>- Handle ad-hoc compliance-related projects and tasks as assigned by senior management<br/><br/><b>Candidate Profile - Preferred Qualifications:</b><br/><br/>- 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.<br/><br/>- Experience or exposure to SEBI, RIA, PMS, and related regulatory compliance processes is highly desirable.<br/><br/>- Familiarity with the regulatory environment for financial services, investment advisory, and asset management organizations.<br/><br/>- Strong organizational skills and an ability to manage multiple priorities efficiently.</p> (ref:iimjobs.com)

Required Skill Profession

Financial Specialists


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Unlock Your Client Associates Potential: Insight & Career Growth Guide


Real-time Client Associates Jobs Trends (Graphical Representation)

Explore profound insights with Expertini's real-time, in-depth analysis, showcased through the graph here. Uncover the dynamic job market trends for Client Associates in Gurugram, India, highlighting market share and opportunities for professionals in Client Associates roles.

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The average salary range for a varies, but the pay scale is rated "Standard" in Gurugram. Salary levels may vary depending on your industry, experience, and skills. It's essential to research and negotiate effectively. We advise reading the full job specification before proceeding with the application to understand the salary package.

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