Role Summary:
We are looking for a Compliance and Client Support Executive for our SEBI-registered RIA business. This person will ensure regulatory compliance, manage client onboarding, and provide ongoing support for advisory services.
Key Responsibilities:
- Ensure timely compliance with SEBI regulations and maintain all compliance records.
- Assist in creating and reviewing financial plans and advisory reports for clients.
- Handle client onboarding, ensuring all KYC, risk profiling, and documentation is complete.
- Conduct regular audits to ensure advisory processes align with SEBI guidelines.
- Provide ongoing client support, answering queries, and coordinating follow-ups.
- Collaborate with advisors to ensure smooth delivery of personalized investment plans.
Requirements:
- Completed NISM Series X-A and X-B certification.
- Minimum 1 year of experience in a wealth management or investment advisory firm.
- Strong knowledge of SEBI regulations, compliance standards, and financial advisory practices.
- Excellent organizational skills and meticulous attention to detail.
- Customer-focused mindset with strong communication skills in English and Tamil.
- Proficiency in MS Office and digital tools.
Pay: From ₹15,000.00 per month
Work Location: In person
