Compliance associate

Dezerv is a house of investing solutions for high-net-worth and affluent Indians. Dezerv is co-founded by Sandeep Jethwani, Vaibhav Porwal, and Sahil Contractor. They have led and founded successful wealth management businesses and managed over USD 7 billion in assets. The Dezerv team brings together decades of investing expertise from leading global financial institutions like JP Morgan, UBS, BNP Paribas, etc. Our team of experts monitor the performance of portfolios and rebalance them if required to ensure long-term success. We are backed by marque firms like Premji Invest, Accel, Elevation, Matrix, etc. Since inception, our clients have trusted us with over 15000+ crs of their assets.
Why are we building Dezerv?
Investing is stressful and emotional. Building & growing wealth is difficult and time-consuming. Most individuals struggle with managing their investments and money. Our goal is to help individuals grow their wealth without the stress, time, and costs involved in a traditional investment. At Dezerv, We are building a platform that leverages our decades of investment expertise to help individuals invest better for their future.
What are we trying to solve/mission?
We are passionate about helping Indians invest better. We manage investments with active oversight to help both, sophisticated and new investors build long term wealth across various market conditions.
Role Summary
The role involves independently managing regulatory and legal compliance for the Company’s SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF) and Mutual Fund Distribution (MFD). The position requires strong regulatory interpretation skills, hands-on experience with filings, audits and inspections, and the ability to partner with business teams to strengthen governance frameworks.
What are you expected to do?
Manage and oversee compliance under SEBI regulations applicable to PMS, AIF and MFD
Monitor regulatory developments, analyse circulars and drive implementation across business functions
Ensure timely completion of regulatory filings, periodic reports and disclosures
Oversee maintenance of statutory records, compliance registers and audit trails
Review and vet agreements, investor documentation and business contracts from a regulatory and legal perspective
Provide legal and compliance support for corporate transactions, new products and operational initiatives
Coordinate and manage SEBI inspections, internal audits and compliance reviews, including closure of observations
Partner with internal stakeholders to strengthen governance, risk controls and compliance processes
Support development and periodic review of policies, SOPs and internal compliance frameworks
What are we looking for?
2-4 years of relevant experience in SEBI-regulated financial services (PMS, AIF, asset management or wealth)
Strong working knowledge of:
SEBI regulations relating to PMS, AIF , RIA, RA and Mutual Funds
Corporate and Contract Laws
FEMA, stamping and registration requirements
Experience in handling regulatory filings, audits or inspections
Ability to interpret regulations and provide practical guidance to business teams
Strong organisational skills and ability to manage multiple assignments and deadlines
Proficiency in Microsoft Word and Excel
Strong attention to detail and ability to identify compliance gaps or risks
Effective communication and stakeholder management skills
Ability to work independently in a fast-paced, regulated environment