Senior Associate, US Compliance Consulting
On-siteMumbai, Maharashtra, India
Mumbai, Maharashtra, IndiaOn-siteFull TimeSenior LevelCybersecurity ServicesLarge
Full TimeSenior LevelLargeCybersecurity Services
Job Summary
Support UK-based compliance consulting team by managing client relationships, drafting compliance manuals, and setting up client infrastructure. Conduct periodic monitoring reviews and testing, then write detailed reports and manage regulatory reporting schedules. Draft, review, and submit FCA Reports, SEC filings, and regulatory notifications while providing ad hoc regulatory advice and reviewing marketing materials. Manage compliance processes using proprietary or third-party systems. Requires FCA/SEC experience, knowledge of investment management sectors, and ability to work under pressure.
Required Qualifications
- Proven experience in a compliance role within the FCA/SEC, an FCA/SEC regulated firm/group or a consultancy practice
- Knowledge and understanding of the FCA/SEC rules and regulations and global compliance standards
- Detailed knowledge of the investment management and broking sectors
- Broad understanding of the alternative investment industry
- Ability to work on own initiative and as part of a team
- Client facing, solutions focused skills
- Clear, logical thought processes, ability to make decisions and articulate these clearly
- Strong oral and written communication skills
- Time management and ability to work under pressure
Desired Qualifications
- Legal or audit background would be useful
- Contacts within the UK and overseas investment industry would be useful
- Experience of both UK and US regulation would be useful
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