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Pioneer Client Associate Reviews by Employees

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 young Company Secretary (CS) with 2-3 years of relevant experience or, alternatively, 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 - Coordinate and assist with renewals of various certifications relevant to the Compliance and Finance teams - Follow up with advisors regarding expired certifications, ensuring timely renewal and compliance with regulatory requirements - Maintain updated records of all certifications and communicate updates to relevant stakeholders - Regulatory Agreements Administration (RIA) - Maintain systematic storage of RIA agreements and ensure an up-to-date list of all agreements is accessible and accurate - Review and reconcile RIA agreement fee schedules in coordination with the CAP team - Ensure that all emails and communications to RIA clients are exclusively handled by the RIA Desk - Participate in the activities of the RIA Desk and coordinate with team members - Assist with RIA regulatory reporting to SEBI, including the preparation for annual audits SEBI Compliance and Reporting - Support the preparation and consolidation of PMS (Portfolio Management Services) SEBI reporting, including all required annual declarations and information filings with SEBI - Coordinate and track renewals for RIA / PMS / AMFI / APRN, including updates related to personnel changes and validity tracking - Monitor and update the team on any regulatory changes, ensuring timely adaptation and compliance with new requirements Company Secretarial Support (CS) - Assist with company secretarial matters, including the preparation and maintenance of Board meeting minutes and related documentation - Support the Compliance team in organizing and documenting board and committee meetings General Compliance Support - Collaborate with various internal stakeholders to ensure ongoing compliance with all regulatory frameworks, including SEBI, RIA, and other applicable guidelines - Participate in internal audits, compliance checks, and reviews as required - Assist in drafting, reviewing, and implementing compliance policies and procedures - Handle ad-hoc compliance-related projects and tasks as assigned by senior management Candidate Profile - Preferred Qualifications: - Company Secretary (CS) qualification with 2-3 years of post-qualification experience, preferably in a compliance function. - OR 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.

Gurgaon/Gurugram

Client Associates - Company Secretary - Compliance 

Job Description for Client Associates - Company Secretary - Compliance  in PIONEER CLIENT ASSOCIATES PRIVATE LIMITED in  Gurgaon/Gurugram for (2-5) years of experience. Apply Now!