Associate,Compliance
On-site · Bengaluru, Karnataka, India
Job Summary
Associate, Compliance role anchoring the fund compliance function within the India GCC. Own day-to-day execution of fund and regulatory compliance for private credit and private equity strategies; contribute to building and improving the compliance framework. Partner with investment, legal, operations, and technology teams; interact with US-based compliance leadership. Responsibilities include leading conflicts of interest reviews across funds, regulatory filings (Form ADV, Form PF), policy maintenance, vendor due diligence and monitoring, weekly trade-blotter surveillance, access reviews, and supporting a broader compliance program build-out.
Required Qualifications
- 5 to 8 years of compliance experience within asset management, alternative investments, or financial services
- Direct exposure to fund or investment compliance — conflicts of interest, allocation review, investment guideline monitoring, or similar
- Working knowledge of SEC and FINRA regulations as they apply to investment advisers
- Experience with third-party/vendor risk management, trade surveillance, or access control reviews
- Strong written communication and ability to own periodic reporting cadence with multiple stakeholders
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