Compliance Manager

Compliance Manager:

Elevate Your Impact Through Innovation and Learning

Evalueserve is a global leader in delivering innovative and sustainable solutions to a diverse range of clients, including over 30% of Fortune 500 companies. With a presence in more than 45 countries across five continents, we excel in leveraging state-of-the-art technology, artificial intelligence, and unparalleled subject matter expertise to elevate our clients' business impact and strategic decision-making. Our team of over 4, 500 talented professionals operates in countries such as India, China, Chile, Romania, the US, and Canada. Our global network also extends to emerging markets like Colombia, the Middle East, and the rest of Asia-Pacific. Recognized by Great Place to Work in India, Chile, Romania, the US, and the UK in 2022, we offer a dynamic, growth-oriented, and meritocracy-based culture that prioritizes continuous learning and skill development, work-life balance, and equal opportunity for all.

Curious to know what its like to work at Evalueserve?

About Corporate and Investment Banking

As a global leader in knowledge processes, research, and analytics, youll be working with a team that specializes in global market research, working with the top-rated investment research organizations, bulge bracket investment banks, and leading asset managers. We cater to 8 of the top 10 global banks, working alongside their product and sector teams, supporting them on deal origination, execution, valuation, and transaction advisory-related projects.

What you will be doing at Evalueserve-

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

The ideal candidate will bring strong regulatory knowledge, a proactive problem-solving approach, and the ability to train and mentor team members.

Regulatory Compliance & Legal Support

• 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 firms operations
• Prepare concise summaries of legal and compliance documents in plain language for internal teams
• Help review all aspects of KRs 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 the firms market abuse surveillance system

Team Training and Collaboration

• Train and mentor India-based compliance team members (1020)
• 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

What were looking for-

• 6+ 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 the NIRF-ranked top 10 Indian universities (top 50 also acceptable) 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

Follow us on y/evalueserve/

Click here to learn more about what our Leaders talking on achievements AI-powered supply chain optimization solution built on Google Cloud.

How Evalueserve is now Leveraging NVIDIA NIM to enhance our AI and digital transformation solutions and to accelerate AI Capabilities .

Know more about how Evalueserve has climbed 16 places on the 50 Best Firms for Data Scientists in 2024

Want to learn more about our culture and what its like to work with us?

Write to us at:

Disclaimer: The following job description serves as an informative reference for the tasks you may be required to perform. However, it does not constitute an integral component of your employment agreement and is subject to periodic modifications to align with evolving circumstances.

Please Note: We appreciate the accuracy and authenticity of the information you provide, as it plays a key role in your candidacy. As part of the Background Verification Process, we verify your employment, education, and personal details. Please ensure all information is factual and submitted on time. For any assistance, your TA SPOC is available to support you.