Job Description

This role involves ensuring compliance with SEC regulations while supporting the legal department within the investment and asset management industry. The position requires a detail-oriented individual with a strong understanding of financial services compliance frameworks.

• 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.

Only candidates open to relocate / based out of MumbaiOnly candidates with experience with USA/SEC compliance will be considered
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.

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.

• 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

Skills Required