Regulatory Compliance Specialist

7 hours ago


Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Regulatory Compliance Specialist

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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