Regulatory Operations Support

Location: Kochi - India

Team: Regulatory Operations

COMPLY is the worlds leading aggregator of financial and regulatory data to support compliance. Our mission is to help financial institutions meet their regulatory obligations with confidence, clarity, and speed. We ingest, process, and enrich vast volumes of complex, high-variance data from hundreds of brokers, data providers and other sources of information across the US and beyond.

Role:

COMPLY is seeking a Regulatory Operations Support Associate (India-based) to join our growing team! Reporting into our VP of Regulatory Operations, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.

Responsibilities:

• Provide back-office and administrative support to the U.S. Regulatory Operations team on various compliance and regulatory processes.
• Assist with preparation and data entry for regulatory filings such as:
  • Form ADV (annual and other-than-annual amendments)
  • Form U4 for new investment adviser and broker-dealer representatives
• Maintain internal records and trackers for client filings, deadlines, and status updates.
• Support internal QA process to avoid errors. Review documents for completeness and accuracy before drafts and submission.
• Coordinate with internal U.S. teams and escalate issues or questions when needed.
• Assist with SOP management, document management, and other regulatory operations tasks as assigned.
• Assist Comply customers with regulatory obligations.
  • File annual updating amendments and other-than-annual amendments for Form ADV.
  • Coordinate with Regulatory Operations Associates to complete regulatory operations tasks for clients.
• Coordinate with COMPLYs internal compliance experts, client services representatives, and other departments.
• Attend team meetings and provide regular reporting to supervisor.
• Work with COMPLYs internal software such as the reviewer and MRC Internal.
• Assist your Regulatory Operations team with various other tasks as assigned.

Qualifications:

• Skilled in problem solving and analytical thinking.
• Ability to multitask in performing responsibilities across multiple projects.
• Excellent interpersonal skills, including the ability to engage with stakeholders at all levels.
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
• Experience with FINRA/IARD, WebCRD is a plus.
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.