Senior Associate, Compliance Consulting
MumbaiFull-time5–7 yrsPosted 6 days ago
Senior legal role at Hcxs in Mumbai. Needs 5–7 years and a B.Com, BBA or MBA.
About the role
We are looking for a Senior Associate to be an essential part of the team assisting the Financial Services Compliance & Regulation - Compliance Consulting practice, to support the delivery of regulatory compliance and consulting services to a range of financial services clients. We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility.
What you'll do
- Work closely with the Financial Services Compliance & Regulation – US Compliance Consulting practice to deliver ongoing compliance support and consulting services to…
- Support SEC mock examinations, SEC Rule 206(4)-7 annual compliance reviews, and compliance gap assessments, including preparing information request lists
- Assist with the development, review, and implementation of compliance programs, policies, procedures, and testing in accordance with applicable SEC and FINRA requirements
- Review marketing and communications materials for compliance with applicable SEC and FINRA requirements and assist clients with related compliance considerations
- Support the administration and monitoring of personal trading, Code of Ethics, and electronic communications surveillance programs
What you need
- Compliance
- Documentation