Compliance and Regulatory Specialist

2 weeks ago

Noida, India Owneso Legal Consulting Full time

Company Description

Owneso Legal Consulting is a dynamic and highly skilled team of legal experts based in Noida, specializing in various legal practice areas including USA, Canada, UK, and Australian law. We provide exceptional quality paralegal services, working alongside lawyers to deliver the highest level of service to our clients. Our team possesses extensive experience in drafting documents, conducting document reviews, performing legal research, and providing support in legal administration.


Role Description

This is a full-time hybrid role as a Compliance and Regulatory Specialist at Owneso Legal Consulting. As a Compliance and Regulatory Specialist, you will be preparing Registration Statements, Prospectuses, and Statements of Additional Information (SAI) for filing with the Securities and Exchange Commission (SEC). The ideal candidate shall have a strong understanding of SEC regulations, excellent communication skills, and the ability to manage complex projects efficiently. This role is based in Noida with flexibility for some remote work.


  • Registration Statement Preparation: Lead the preparation and drafting of Registration Statements, ensuring compliance with SEC regulations and guidelines. These include 485A, 485B, 497’s and Post filing documents as well which include Form 8-A, 497K and 497J.  
  • Prospectus and SAI Drafting: Draft and review Prospectuses and Statements of Additional Information (SAI) to provide comprehensive and accurate disclosure of information to potential investors. 
  • SEC Filing Management: Manage the filing process with the SEC, including coordinating with legal counsel, internal stakeholders, and external service providers to ensure timely and accurate submissions. 
  • Regulatory Compliance: Stay up-to-date with SEC rules, regulations, and filing requirements to ensure ongoing compliance with all applicable laws. 


Qualifications

  • Experience working in a legal or financial services firm with a focus on securities offerings and compliance. 
  • Familiarity with EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system and other SEC filing systems. 
  • Experience with drafting and reviewing legal documents, contracts, or financial reports. 
  • Experience with working on Workiva platform and preparing documents.


Additional qualifications that would be beneficial:

  • Knowledge of relevant laws and regulations
  • Experience in conducting compliance audits
  • Ability to work independently and as part of a team
  • Detail-oriented and highly organized
  • Experience in the legal industry


NOTE: Applicants are kindly requested to apply only if they possess relevant experience. We encourage all applicants to carefully read the job description before submitting their application.

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