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SEC/USA Compliance
2 weeks ago
- Only candidates open to relocate / based out of Mumbai
- Only candidates with experience with USA/SEC compliance will be considered
About Our Client
The company is a medium-sized organization operating in the financial services industry, specializing in investment and asset management. It offers a professional environment focused on regulatory adherence and operational excellence.
Job Description
- Manage and oversee compliance with SEC regulations and filings.
- Develop and implement compliance policies and procedures for the legal department.
- Conduct regular audits and reviews to ensure adherence to regulatory standards.
- Provide guidance and training to internal teams on SEC compliance requirements.
- Monitor and report on regulatory changes affecting the investment and asset management industry.
- Collaborate with external counsel and regulatory bodies as needed.
- Assist in preparing and submitting necessary documentation to regulatory authorities.
- Address compliance-related queries and resolve issues promptly.
The Successful Applicant
A successful SEC Compliance professional should have:
- A degree in Law, Finance, or a related field.
- Proven expertise in SEC regulations and compliance within financial services.
- Strong analytical and problem-solving skills.
- Familiarity with the investment and asset management industry.
- Excellent communication and collaboration abilities.
- A proactive approach to identifying and mitigating compliance risks.
What's on Offer
- Generous holiday and leave policies.
- Exposure to a professional and compliance-focused work environment.
- Opportunity to work with industry leaders in investment and asset management.
- Comprehensive benefits package and career development opportunities.
If you are passionate about compliance within the financial services industry and are eager to contribute to a dynamic legal team, we encourage you to apply
Contact: Anupama Rangaswami
Quote job ref: JN
