Role & responsibilities

Act as a SME on US RIA regulations, compliance, & operational workflows

Work closely with product and engineering teams to translate regulatory requirements into product features

Help design & validate compliance workflows (SEC, FINRA-related processes, etc.)

Engage with US-based RIAs to understand their needs, pain points, and feedback

Contribute to building compliance-first product capabilities and frameworks

Assist in setting up internal knowledge around RIA operations and best practices

Preferred candidate profile

Experience working with or closely supporting US Registered Investment Advisors (RIAs)

Background in wealth management, compliance, or advisory operations

Prior experience at firms like JP Morgan, Morgan Stanley, or similar institutions is a strong plus

Solid understanding of SEC regulations, compliance processes, and day-to-day RIA functioning

Ability to bridge domain knowledge with product thinking

Excellent communication skills and comfort interacting with US clients

📌 Compliance Lead - US RIA (Karnataka)
🏢 CxSearch Global Partners
📍 Karnataka