Associate (Securities Market Compliance)

Associate – Securities Market Operations

Location : Navi mumbai

About the Role

We are looking for an Associate – Securities Market Operations with 2–3 years of experience in securities-market compliance, SEBI regulations, corporate compliances and related operational activities. The candidate will work closely with clients and internal teams on regulatory, compliance, documentation and operational matters relating to the securities market.

Budget: 2.4 lpa

Key Responsibilities

• Handle day-to-day SEBI and securities-market regulatory compliance for clients.
• Assist with compliance requirements applicable to Investment Advisers (IA), Research Analysts (RA), PMS, AIFs and other securities-market entities.
• Prepare, review and maintain regulatory documents, applications, declarations, undertakings and other submissions to SEBI and other regulatory authorities.
• Assist in AIF and PMS operations and compliance, including regulatory filings, documentation, periodic compliances and audit coordination.
• Coordinate with clients, regulators, professional advisors and other stakeholders for compliance and operational requirements.
• Track regulatory updates and assess their applicability to clients.
• Maintain compliance trackers, records, registers and documentation.
• Support the team in end-to-end securities-market compliance and regulatory operations.

Required Skills

• Good working knowledge of SEBI Regulations and securities-market regulatory framework.
• Knowledge of AIF, PMS, IA and RA regulations will be preferred.
• Working knowledge of Companies Act, ROC/MCA filings and corporate compliances.
• Ability to understand, interpret and implement regulatory circulars and guidelines.
• Good drafting and documentation skills.
• Strong MS Office/Excel skills.
• Good communication and client-handling skills.
• Ability to independently manage compliance tasks and timelines.

Preferred Background

Candidates with experience in any of the following areas will be preferred:

• SEBI compliance / regulatory compliance
• Securities-market operations
• AIF / PMS operations and compliance
• Investment Adviser / Research Analyst compliance
• Corporate secretarial / ROC compliances
• Compliance consulting / regulatory consulting
• Legal and compliance functions in financial service