Senior Compliance Expert

1 day ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Description

We are seeking a highly experienced compliance professional with extensive expertise in U.S. SEC regulations to support our growing India-based compliance team for a SEC-registered investment advisor.

This role is ideal for a legal / compliance generalist who thrives in smaller, dynamic investment advisory environments and can distill complex regulatory and legal matters into clear, actionable guidance for non-legal audiences.

Key Responsibilities

  • Manage and oversee SEC filings, including 13F, 13H, Form PF, and new 2026 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
  • Help review all aspects of KR's Code of Ethics, including PA deals, conflicts, gifts and inducements, political contributions, and pre-clearance requests
  • Chaperone expert calls, based on specified requirements
  • Review trading activities and alerts generated for our market abuse surveillance system

Team Training and Collaboration

  • Train and mentor India-based compliance team members (10–20)
  • Coordinate with the US-based CCO to ensure seamless regulatory alignment
  • Act as a bridge between the US and India teams for knowledge transfer and process handoffs

Requirements

  • 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 top-tier 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 365 (especially Excel); familiarity with compliance software will be a plus
  • Excellent written and verbal communication skills in English

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