Apply Now Sec/usa Compliance || 6+ Years || Mumbai

2 weeks ago

Mumbai Maharashtra, India Michael Page Full time

This role involves ensuring compliance with SEC regulations while supporting the legal department within the investment and asset management industry The position requires a detail-oriented individual with a strong understanding of financial services compliance frameworks Manage and oversee compliance with SEC regulations and filings Develop and implement compliance policies and procedures for the legal department Conduct regular audits and reviews to ensure adherence to regulatory standards Provide guidance and training to internal teams on SEC compliance requirements Monitor and report on regulatory changes affecting the investment and asset management industry Collaborate with external counsel and regulatory bodies as needed Assist in preparing and submitting necessary documentation to regulatory authorities Address compliance-related queries and resolve issues promptly Only candidates open to relocate based out of MumbaiOnly candidates with experience with USA SEC compliance will be considered A successful SEC Compliance professional should have A degree in Law Finance or a related field Proven expertise in SEC regulations and compliance within financial services Strong analytical and problem-solving skills Familiarity with the investment and asset management industry Excellent communication and collaboration abilities A proactive approach to identifying and mitigating compliance risks The company is a medium-sized organization operating in the financial services industry specializing in investment and asset management It offers a professional environment focused on regulatory adherence and operational excellence Generous holiday and leave policies Exposure to a professional and compliance-focused work environment Opportunity to work with industry leaders in investment and asset management Comprehensive benefits package and career development opportunities If you are passionate about compliance within the financial services industry and are eager to contribute to a dynamic legal team we encourage you to apply

  • SEC/USA Compliance || 6+ years || Mumbai

    2 weeks ago

    Mumbai, India Michael Page Full time

    About Our Client The company is a medium-sized organization operating in the financial services industry, specializing in investment and asset management. It offers a professional environment focused on regulatory adherence and operational excellence. Job Description - Manage and oversee compliance with SEC regulations and filings. - Develop and implement...

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