Compliance & Operations Associate

Role: Compliance & Operations Associate 
Experience Required: 2 to 4 years

About GCIA GCIA is a SEBI -registered Investment Advisory and Portfolio Management Services firm. As we scale, we need a sharp compliance and operations professional to anchor our regulatory and operational engine — with full ownership from Day 1.

Role Split: 70% Compliance | 30% Operations

Pillar 1 — Regulatory Compliance

• Own all SEBI filings, statutory records and regulatory correspondence for IA and PMS registrations
  
• Monitor and implement SEBI circulars and amendments; brief senior management on material changes
  
• Lead preparation for SEBI inspections, internal audits and third -party compliance reviews
  
• Maintain a compliance calendar to ensure zero regulatory lapses
  
• Review all marketing materials, client communications and investment proposals for regulatory adherence
  

Pillar 2 — Client -Level Compliance and Grievance Management

• Oversee AML/KYC frameworks, client suitability assessments and fee structure compliance
  
• Manage conflict -of -interest policies and periodic KYC refresh
  
• Handle client grievance management and timely resolution reporting via SEBI SCORES
  

Pillar 3 — Operations Management

• Manage end -to -end client onboarding on BSE Star MF, NSE NMF II and relevant depositories
  
• Handle daily operations — transaction processing, portfolio reporting and corporate action tracking
  
• Build and maintain SOPs for key operational activities
  
• Identify process gaps; drive automation and workflow standardisation
  

Pillar 4 — Reporting and Risk Monitoring

• Build and maintain compliance and operational dashboards for senior management
  
• Conduct regular risk reviews to identify compliance exposures and operational bottlenecks
  
• Prepare periodic management reports covering compliance status, performance and risk indicators
  

Pillar 5 — Vendor and Third -Party Management

• Own vendor empanelment, due diligence, SLA definition and performance monitoring
  
• Negotiate contracts with key service providers — CS firms, tech vendors, legal and audit firms
  
• Conduct periodic vendor compliance audits to ensure alignment with SEBI requirements
  

Who Should Apply

Qualifications

• LLB / MBA (Finance) / CA / CS or equivalent
  
• NISM Series X -A, X -B, or XXI -A certifications preferred
  
• Strong knowledge of SEBI PMS Regulations 2020 and IA Regulations 2013
  

What We Offer

• End -to -end ownership — not siloed, not support
  
• Direct access to MD and senior leadership
  
• Autonomy to build compliance and operational frameworks from scratch
  
• Clear growth path to Head of Compliance / CCO as GCIA scales
  
• Competitive compensation commensurate with experience