Compliance Associate

Turtle Wealth Management Private Limited; Surat; On-site; INR 350,000 - 550,000; Full time

Job summary

Turtle Wealth Management Private Limited is seeking a Compliance Associate to support regulatory compliance for our SEBI-registered PMS, Research Analyst (RA) and Mutual Fund Distribution (MFD) activities.

The position is based in Surat, Gujarat. You will monitor SEBI regulations, manage filings, assist audits, and maintain records while coordinating with regulators. 1–3 years of compliance experience in wealth management is preferred.

Qualifications

• Graduate/Postgraduate in Commerce, Finance, Management, Law or related field.
• 1–3 years of compliance experience, preferably in PMS/Wealth Management/RA/MFD/Brokerage.
• Good understanding of SEBI regulations with strong attention to detail.

Responsibilities

• Monitor SEBI, RAASB & AMFI regulations, circulars and compliance requirements.
• Manage periodic regulatory reports/submissions, filings and compliance calendars.
• Handle and coordinate online/offline queries, notices and information requests from SEBI and other regulators, ensuring timely responses.
• Track and maintain regulatory deadlines and ensure timely completion of all compliances.
• Review client documents, disclosures, reports, website/social media and promotional content.
• Assist with regulatory research and implementation of new requirements.
• Support SEBI, RAASB, AMFI and internal/external audits and closure of observations.
• Maintain AMFI/ARN and EUIN-related records and proper compliance documentation.

Skills

Attention to detail

Communication skills

Regulatory compliance

Regulatory awareness

Education

Graduate/Postgraduate in Commerce, Finance, Management, Law or related field

Tools

MS Excel

MS Word

Job description

Department: Compliance | Reporting To: Compliance Manager

Industry: Wealth Management / Financial Services

We are looking for a Compliance Associate to support regulatory compliance for our SEBI-registered PMS, Research Analyst (RA) and Mutual Fund Distribution (MFD) activities.

Key Responsibilities

• Monitor SEBI, RAASB & AMFI regulations, circulars and compliance requirements.
• Manage periodic regulatory reports/submissions, filings and compliance calendars.
• Handle and coordinate online/offline queries, notices and information requests from SEBI and other regulators, ensuring timely responses.
• Track and maintain regulatory deadlines and ensure timely completion of all compliances.
• Review client documents, disclosures, reports, website/social media and promotional content.
• Assist with regulatory research and implementation of new requirements.
• Support SEBI, RAASB, AMFI and internal/external audits and closure of observations.
• Maintain AMFI/ARN and EUIN-related records and proper compliance documentation.

What We’re Looking For

• Graduate/Postgraduate in Commerce, Finance, Management, Law or a related field.
• 1-3 years of compliance experience, preferably in PMS/Wealth Management/RA/MFD/Brokerage.
• Good understanding of SEBI regulations with strong attention to detail.
• Good MS Excel, Word and documentation skills.
• Strong communication skills with good command of English, both written and verbal.
• Ability to manage regulatory timelines, multiple tasks and follow-ups effectively.

• Location: Surat, Gujarat