Investment Advisory Compliance Lead

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.

About Corporate and Investment Banking

As a global leader in knowledge processes, research, and analytics, you’ll 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 firm’s operations
• Prepare concise summaries of legal and compliance documents in plain language for internal teams
• Help review all aspects of KR’s 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 firm’s market abuse surveillance system

Team Training and Collaboration

What we’re looking for-

familiarity with compliance software will be a plus

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.