Job Description

Qualifications:

Bachelor's or Post Graduate degree in Finance, Economics, Business, or related field.

Work Experience:

A professional with at least 3-5 years of experience in handling the regulatory requirements of RIAs & MFD division of a mid or a small level firm.

Responsibilities:

Manage Compliance aspects of Investment Advisory (RIA), Mutual Fund Distribution Ensure all regulatory submissions/filings are done in time, and the record is maintained All relevant policies are regularly updated Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation) Manage relationships with regulators and assist with the firm's response to regulatory inspection/observations Ensure timely completion of Internal/External Audits Assist in various compliance matters/opinions in day-to-day activities, Review of various documents, and ensure that all providers of products/services have contractual relationships enforced Managing clients (internal) queries in a timely manner to resolve grievances Regular updates/training to employees related to compliance and ensure that the Advisory, Planning & Operations team is compliant in all respects Review of surveillance alerts and action on the same

Skills:

Strong knowledge of the regulatory framework governing financial businesses in India, with experience across multiple laws and regulators. Ability to manage compliance communication with regulators, exchanges, and government departments. Excellent written and verbal communication skills with clear, structured articulation. Strong interpersonal skills, adaptability, and a solution-oriented mindset. Focused approach towards timely completion of compliance tasks and deliverables. Ability to collaborate effectively with internal teams, auditors, exchanges, regulators, authorities, and external consultants. Professional appearance with strong workplace etiquette and people-friendly behavior. Client-service oriented, with experience in interacting with market participants such as auditors, regulators, and mutual fund houses. Team player with a respectful, approachable, and positive attitude. Willingness to learn, accept guidance, and take initiative as a self-starter.
Job Type: Full-time

Pay: ₹300,000.00 - ₹500,000.00 per year

Work Location: In person