
Regulatory Compliance Specialist
3 days ago
Elevate Your Business Impact Through Innovation and Sustainable Solutions
At our organization, we deliver innovative and sustainable solutions to a diverse range of clients, including over 30% of Fortune 500 companies. We leverage state-of-the-art technology, artificial intelligence, and subject matter expertise to elevate our clients' business impact and strategic decision-making.
We are a global leader in knowledge processes, research, and analytics. Our team specializes in global market research, working with top-rated investment research organizations, bulge bracket investment banks, and leading asset managers. We cater to 8 of the top 10 global banks, supporting their product and sector teams on deal origination, execution, valuation, and transaction advisory-related projects.
The ideal candidate will bring strong regulatory knowledge, a proactive problem-solving approach, and the ability to train and mentor team members. The role requires managing and overseeing SEC filings, ensuring compliance with EU short-selling rules, reviewing and negotiating contracts, providing updates on current and evolving U.S. and EU regulations, and preparing concise summaries of legal and compliance documents in plain language for internal teams.
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 the firm's operations
- Prepare concise summaries of legal and compliance documents in plain language for internal teams
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 sharing
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