NK Securities Research is a leading financial firm that leverages cutting-edge technology and sophisticated algorithms to trade the financial markets. Founded in 2011, we have gained invaluable experience in the field of High-Frequency Trading across different asset classes. With a focus on innovation, entrepreneurship, and collaboration, we aim to foster a dynamic work environment that reflects a startup culture.
Role Overview
As we expand across jurisdictions, the documentation load across broker onboarding, regulatory filings, and KYC has increased in both volume and complexity. These processes are detailed, jurisdiction-specific, and often involve multiple rounds of clarification with brokers, banks, and regulators.
We are looking to hire a Regulatory Documentation Associate (2 - 5 year of experience) who can take structured ownership of documentation workflows end-to-end. The role is operationally critical and requires maturity in handling regulatory-sensitive processes.
Key Responsibilities
- Manage end-to-end documentation for:
- Broker onboarding (domestic and international)
- Exchange memberships and related registrations
- Regulatory filings, renewals, and compliance submissions
- KYC processes with brokers, banks, and counterparties
- Prepare and collate KYC packs including corporate documents, UBO details, financial statements, board resolutions, and supporting disclosures.
- Coordinate with internal teams (BD, Finance, Compliance, Legal, Operations) to gather required information and ensure timely submission
- Act as the central SPOC for documentation queries raised by brokers, banks, auditors, and regulators.
- Maintain structured trackers for submission timelines, pending clarifications, and documentation validity cycles.
- Ensure strict version control, documentation hygiene, and secure archival practices.
- Support audits and regulatory inspections by ensuring documentation readiness and accuracy.
- Proactively identify documentation gaps and reduce back-and-forth by pre-empting common regulatory queries.
- This is a documentation ownership and coordination role, not a business development or FP&A role.
Candidate Profile
- Qualified / Semi-qualified Company Secretary preferred.
- Ideal candidates have worked in audit, compliance ops, broker onboarding, fund administration, exchange/broker operations, or regulated financial services environments
- Highly process-driven with strong attention to detail.
- Comfortable working through lengthy and technical documentation requirements across jurisdictions.
- Structured and methodical - someone who enjoys maintaining trackers, checklists, and clean audit trails.
- Strong coordination skills - able to work across departments and external stakeholders without escalation friction.
What We Offer
- Exposure to multi-jurisdiction regulatory frameworks and global broker relationships
- Opportunity to work in a dynamic and growing organization
- Collaborative work environment and learning opportunities
- Competitive compensation aligned with experience
- Catered breakfast and lunch
