Senior Regulatory Compliance Specialist
3 days ago
Elevate Your Impact Through Innovative Solutions and Knowledge Management
Our organization is a global leader in delivering innovative and sustainable knowledge management solutions to diverse clients. With a presence in over 45 countries, we excel in leveraging state-of-the-art technology and subject matter expertise.
We have a team of over 4,500 talented professionals operating in various countries and markets. Recognized by Great Place to Work in multiple countries, we offer a dynamic culture that prioritizes continuous learning and skill development, work-life balance, and equal opportunity for all.
About Global Market Research and Compliance
As a global leader in knowledge processes, research, and analytics, you'll be working with a team specializing in global market research and supporting top-rated investment research organizations and bulge bracket investment banks.
Key Responsibilities:
- Manage and oversee 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 by 3:30 PM EU time
- 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 our operations
- Prepare concise summaries of legal and compliance documents in plain language for internal teams
Team Training and Collaboration
- Train and mentor colleagues (10–20) on regulatory requirements and best practices
- Coordinate with the US-based CCO to ensure seamless regulatory alignment
- Act as a bridge between teams for knowledge transfer and process handoffs
RequirementsTo succeed in this role, you will need:
- 5+ 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 university will be preferred
- Understanding of SEC filings, EU short-selling regulations, and related compliance requirements
- Proven ability to simplify complex concepts for non-legal audiences
- Proficiency in Microsoft 365 (especially Excel); familiarity with compliance software will be a plus
- Excellent written and verbal communication skills in English
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