Compliance Associate

Recruto Alliance Pvt Ltd.; Surat; On-site; INR 450,000 - 750,000; Full time

Job summary

Recruto Alliance Pvt Ltd. is seeking a detail-oriented Compliance Associate to support and manage regulatory compliance for SEBI-registered PMS, RA, and MFD activities.

The role involves monitoring, reporting, documentation, audit support, regulatory tracking, and coordination with regulators and internal stakeholders. The candidate will ensure adherence to statutory requirements, maintain compliance calendars, prepare regulatory submissions, and address queries and notices from authorities.

Qualifications

• Bachelor's degree in Commerce, Finance, Law, or related discipline.
• Experience in compliance, regulatory affairs, or financial services preferred.
• SEBI-regulated exposure in PMS, RA, AM, or MFD advantageous.

Responsibilities

• Ensure compliance with SEBI, RAASB, AMFI guidelines and other authorities.
• Maintain and monitor compliance calendar for filings.
• Prepare and submit regulatory reports and disclosures.
• Respond to regulatory queries, notices, inspections, and information requests.
• Maintain compliant documentation, filings, registers and records.
• Coordinate with internal teams and regulators to gather required information.

Skills

SEBI regulations

PMS/RA/MFD familiarity

MS Excel

MS Word

Documentation management

English communication

Education

Bachelor’s degree in Commerce/Finance/Law

Tools

Documentation management tools

Job description

Role Overview

We are seeking a detail-oriented and proactive Compliance Associate to support and manage regulatory compliance requirements for SEBI-registered Portfolio Management Services (PMS), Research Analyst (RA), and Mutual Fund Distribution (MFD) activities. The role is responsible for ensuring adherence to applicable regulatory frameworks through compliance monitoring, reporting, documentation, audit support, regulatory tracking, and coordination with internal stakeholders and regulatory authorities.

Key Responsibilities

Regulatory Compliance

• Ensure compliance with all applicable regulations, guidelines, and circulars issued by SEBI, RAASB, AMFI, and other relevant regulatory authorities.


• Monitor regulatory obligations and support the implementation of compliance requirements across business functions.

Compliance Calendar Management

• Maintain and monitor the compliance calendar to ensure timely completion of all statutory filings, submissions, and recurring compliance activities.


• Track deadlines and proactively follow up with relevant stakeholders to ensure 100% compliance.

Regulatory Reporting

• Prepare, review, and submit regulatory reports, returns, and disclosures accurately and within prescribed timelines.


• Maintain supporting documentation for all regulatory submissions.

Regulatory Queries & Notices

• Coordinate the preparation of timely and accurate responses to regulatory queries, notices, inspections, and information requests.


• Liaise with internal teams to gather required information and documentation.

Documentation & Record Management

• Maintain organized and up-to-date compliance records, regulatory filings, approvals, registers, and supporting documentation.


• Ensure proper record retention in accordance with applicable regulatory requirements.

Content & Communication Review

• Review client communications, website content, marketing materials, presentations, and social media content to ensure compliance with applicable regulations and internal policies.

Audit & Inspection Support

• Assist in internal audits, regulatory inspections, and compliance reviews.


• Track audit observations and support timely closure of action items.

Regulatory Updates

• Monitor changes in regulatory frameworks and assess their impact on business operations.


• Support the implementation of new regulatory requirements and internal policy updates.

Internal Coordination

• Collaborate with various departments to ensure timely completion of compliance-related activities and regulatory obligations.


• Provide compliance guidance and support to internal stakeholders as required.

Compliance Monitoring

• Identify compliance gaps, monitor corrective actions, and elevate significant issues to the Compliance Manager.


• Support continuous improvement of internal compliance processes and controls.

Required Skills & Competencies

• Strong understanding of SEBI regulations and financial services compliance.


• Knowledge of regulatory frameworks relating to PMS, Research Analyst (RA), and Mutual Fund Distribution (MFD).


• Proficiency in MS Excel, MS Word, and documentation management.


• Excellent written and verbal communication skills in English.


• Strong analytical, research, and problem-solving abilities.


• High attention to detail with excellent accuracy.


• Strong organizational, follow‑up, and time management skills.


• Ability to manage multiple compliance activities simultaneously while meeting strict regulatory deadlines.


• Good understanding of compliance documentation, record management, and regulatory reporting.


• Strong coordination and stakeholder management skills.


• Ability to identify compliance risks and support corrective and preventive actions.


• Professional, proactive, responsible, and highly confidential in handling sensitive information.


• Ability to work independently as well as collaboratively in a fast‑paced regulatory environment.

Eligibility Criteria

• Education: Bachelor's degree in Commerce, Finance, Law, Business Administration, or a related discipline.


• Experience: Prior experience in compliance, regulatory affairs, or financial services will be preferred.


• Industry Preference: Candidates with exposure to SEBI-regulated entities, Portfolio Management Services (PMS), Research Analyst (RA), Asset Management, Wealth Management, or Mutual Fund Distribution will be an advantage.