Compliance Associate

Green Portfolio

About the Role

Green Portfolio is seeking a Compliance Associate to manage and support regulatory compliance requirements, with a primary focus on adherence to SEBI regulations, applicable statutory provisions, and corporate governance standards.

Key Responsibilities

• Handle day-to-day SEBI compliance requirements applicable to PMS and Research Analyst activities.
• Ensure timely preparation and submission of regulatory filings, returns, disclosures, and periodic reports to SEBI and other applicable authorities.
• Assist in monitoring compliance with SEBI regulations, circulars, guidelines, and regulatory updates.
• Maintain compliance records, registers, statutory documentation, and regulatory correspondence.
• Coordinate with internal teams to ensure timely completion of regulatory requirements and documentation.
• Assist in preparing and maintaining compliance checklists, policies, SOPs, and internal compliance reports.
• Support internal and external audits, inspections, and regulatory reviews.
• Ensure adherence to applicable provisions of the Companies Act, 2013, and other relevant corporate laws.
• Track regulatory deadlines and ensure timely closure of compliance-related requirements.

Requirements & Tech Stack

• Familiarity with financial markets, PMS, AIFs, or Research Analyst regulations will be an advantage.
• Interest in financial markets, investment management, PMS, and AIF operations.

Qualifications

• CS Executive or CS Professional candidates, including semi-qualified Company Secretaries.
• Good understanding of the Companies Act, 2013.
• Strong understanding of SEBI regulations and compliance requirements.
• Strong documentation, coordination, and organizational skills.
• Good attention to detail and the ability to manage regulatory timelines.
• Ability to manage multiple compliance requirements and regulatory deadlines with attention to detail.