
Regulatory Compliance Specialist
7 hours ago
We are seeking an experienced compliance professional to support our growing India-based compliance team. This role involves managing SEC filings, ensuring EU short-selling rules compliance, reviewing and negotiating contracts, overseeing KYC processes, and liaising with vendors.
- Manage SEC filings including 13F, 13H, Form PF, and new regulations.
- Ensure EU short-selling rules compliance, reviewing and negotiating contracts, overseeing KYC processes, and liaising with vendors.
- Provide regulatory updates and interpret their impact on the firm's operations.
- Prepare concise summaries of legal and compliance documents for internal teams.
- Help review codes of ethics and chaperone expert calls.
The ideal candidate will bring strong regulatory knowledge, a proactive approach, and ability to train and mentor team members.
Key Responsibilities:
- Regulatory Compliance & Legal Support
- Team Training and Collaboration
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