Job Description
Client Associates (CA) is India’s first and largest “Multi Family Office Firm” founded by Senior Private Bankers to provide a professional platform of Private Wealth Management services in India.
Today Client Associates is recognized by private clients and the industry at large as not only the Pioneers of Family Office in India but also as one of the “Best Team of Private Bankers” in India. Over the last decade, CA has been awarded as the best Wealth Management firm across categories:
1. Winner “Best Multi Family Office” In India at the AIWMI, India Wealth Awards 2018
2. Winner of CNBC TV-18 Best Financial Advisors Award 2015, 2014, 2012,
2009, & 2008
3. Winner of Citywealth Asian Family Office of the Year,2011
Ranked 2nd by Private Banker International as the Outstanding Wealth Manager for Family Office Services Globally – 2011 &2009
Job Overview -
We are seeking a driven and detail-oriented professional to join our Compliance team and support our growing compliance requirements. The role is ideal for a Finance Graduate with 3-4 years of Analyst/Operations experience who is motivated to develop a career specifically in Compliance (not in Advisory or Revenue roles).
Key Responsibilities -
Certifications Management
o Coordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams
o Follow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements
o Maintain updated records of all certifications and communicate updates to relevant stakeholders
Regulatory Agreements Administration (RIA)
o Maintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate
o Review and reconcile RIA agreement fee schedules in coordination with the CAP team
o Ensure that all emails and communications to RIA clients are exclusively handled by the RIA Desk
o Participate in the activities of the RIA Desk and coordinate with team members
o Assist with RIA regulatory reporting to SEBI, including the preparation for annual audits
SEBI Compliance and Reporting
o Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI
o Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking
o Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements
Company Secretarial Support (CS)
o Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation
o Support the Compliance team in organizing and documenting board and committee meetings.
o General Compliance Support
o Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines
o Participate in internal audits, compliance checks, and reviews as required
o Assist in drafting, reviewing, and implementing compliance policies and procedures
o Handle ad-hoc compliance-related projects and tasks as assigned by senior management
Preferred Qualifications
· Must have - NISM 10A, NISM 10B certification
· Good to have - NISM 21A, NISM 21B certification
· Graduate degree in Finance (minimum requirement), with 3-4 years of relevant experience in an Analyst or Operations role and a strong desire to build a career in Compliance
· Experience or exposure to SEBI, RIA, PMS, and related regulatory compliance processes is highly desirable
· Familiarity with the regulatory environment for financial services, investment advisory, and asset management organizations
· Strong organizational skills and an ability to manage multiple priorities efficiently
Today Client Associates is recognized by private clients and the industry at large as not only the Pioneers of Family Office in India but also as one of the “Best Team of Private Bankers” in India. Over the last decade, CA has been awarded as the best Wealth Management firm across categories:
1. Winner “Best Multi Family Office” In India at the AIWMI, India Wealth Awards 2018
2. Winner of CNBC TV-18 Best Financial Advisors Award 2015, 2014, 2012,
2009, & 2008
3. Winner of Citywealth Asian Family Office of the Year,2011
Ranked 2nd by Private Banker International as the Outstanding Wealth Manager for Family Office Services Globally – 2011 &2009
Job Overview -
We are seeking a driven and detail-oriented professional to join our Compliance team and support our growing compliance requirements. The role is ideal for a Finance Graduate with 3-4 years of Analyst/Operations experience who is motivated to develop a career specifically in Compliance (not in Advisory or Revenue roles).
Key Responsibilities -
Certifications Management
o Coordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams
o Follow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements
o Maintain updated records of all certifications and communicate updates to relevant stakeholders
Regulatory Agreements Administration (RIA)
o Maintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate
o Review and reconcile RIA agreement fee schedules in coordination with the CAP team
o Ensure that all emails and communications to RIA clients are exclusively handled by the RIA Desk
o Participate in the activities of the RIA Desk and coordinate with team members
o Assist with RIA regulatory reporting to SEBI, including the preparation for annual audits
SEBI Compliance and Reporting
o Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI
o Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking
o Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements
Company Secretarial Support (CS)
o Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation
o Support the Compliance team in organizing and documenting board and committee meetings.
o General Compliance Support
o Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines
o Participate in internal audits, compliance checks, and reviews as required
o Assist in drafting, reviewing, and implementing compliance policies and procedures
o Handle ad-hoc compliance-related projects and tasks as assigned by senior management
Preferred Qualifications
· Must have - NISM 10A, NISM 10B certification
· Good to have - NISM 21A, NISM 21B certification
· Graduate degree in Finance (minimum requirement), with 3-4 years of relevant experience in an Analyst or Operations role and a strong desire to build a career in Compliance
· Experience or exposure to SEBI, RIA, PMS, and related regulatory compliance processes is highly desirable
· Familiarity with the regulatory environment for financial services, investment advisory, and asset management organizations
· Strong organizational skills and an ability to manage multiple priorities efficiently
💡 Quick Summary
Seeking a career-building opportunity? The Private Banking Compliance position is now open for candidates interested in the Bank Jobs sector. This role in Noida offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.