Strategic Compliance Specialist

6 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

Elevate Your Business Impact with Innovative Solutions

At a leading global firm, we deliver cutting-edge solutions to diverse clients. Leveraging state-of-the-art technology and subject matter expertise, we elevate our clients' business impact and strategic decision-making.

About Our Compliance Expertise

We work closely with top-rated investment research organizations and bulge bracket investment banks. We cater to major financial institutions, supporting their product and sector teams on deal origination, execution, valuation, and transaction advisory-related projects.

Compliance Support & Legal Services

  • Manage SEC filings, including 13F, 13H, Form PF, and new regulations such as 13F2 short reporting
  • Ensure compliance with EU short-selling rules, including critical next-day reporting obligations
  • Review and negotiate contracts, oversee KYC processes, and liaise with vendors
  • Provide updates on current and evolving U.S. and EU regulations and interpret their impact on operations
  • Prepare concise summaries of legal and compliance documents in plain language for internal teams
  • Help review all aspects of KR's Code of Ethics, including PA deals, conflicts, gifts, and inducements
  • Chaperone expert calls based on specified requirements
  • Review trading activities and alerts generated for the firm's market abuse surveillance system

Team Development and Collaboration

  • Train and mentor team members on compliance best practices
  • Coordinate with senior compliance professionals to ensure seamless regulatory alignment
  • Act as a bridge between teams for knowledge transfer and process handoffs

Requirements

  • 6+ years of experience in compliance for SEC-registered investment advisors (generalist background preferred)
  • Experience in smaller investment advisory firms preferred over large institutions
  • A law degree from a reputable Indian university will be preferred
  • Understanding of SEC filings, EU short-selling regulations, and related compliance requirements
  • Proven ability to simplify complex legal concepts for non-legal audiences
  • Proficiency in Microsoft Office (especially Excel); familiarity with compliance software will be a plus
  • Excellent written and verbal communication skills in English

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