Compliance / Paralegal Analyst- Analyst/ Manager

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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 / paralegal 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

• Train and mentor India-based compliance team members (10–20)
• Coordinate with the US-based CCO to ensure seamless regulatory alignment
• Act as a bridge between the US and India teams for knowledge transfer and process handoffs

What we’re looking for-

• 5+ years of experience in compliance for SEC-registered investment advisors (generalist background preferred)
• Experience in smaller investment advisory firms preferred over large institutions
• A law degree from the NIRF-ranked top 10 Indian universities (top 50 also acceptable) will be preferred
• Understanding of SEC filings, EU short-selling regulations, and related compliance requirements
• Proven ability to simplify complex legal concepts for non-legal audiences
• Proficiency in Microsoft 365 (especially Excel); familiarity with compliance software will be a plus
• Excellent written and verbal communication skills in English

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