Manager - Finance and Compliance

Technology Holdings; United States; Remote; USD 19,000 - 31,000; Full time

Job summary

TH Global Capital is seeking a hands-on Finance & Compliance Manager to lead group-level finance operations and multi-jurisdictional regulatory compliance across UK, US, India, and EU. The role covers MIS, cash-flow analysis and reporting, and coordinating statutory obligations with external advisers.

You will manage tax and statutory compliance, coordinate regulatory requirements with FCA, FINRA, and Cayman, and support M&A, asset management, and funds across entities.

Qualifications

• 6-10 years' experience in Finance, Compliance or a combined Finance & Compliance role.
• Strong practical knowledge of accounting, financial controls, tax/statutory compliance and regulatory processes.
• Exposure to FCA, FINRA, AML/KYC and/or multi-jurisdictional regulatory environments.
• Experience dealing with auditors, tax advisers, lawyers, compliance consultants, regulators and senior management.

Responsibilities

• Prepare MIS, management accounts, cash-flow reports, budgets and financial analysis.
• Coordinate year-end accounts, audits, financial reviews and accounting matters with external advisers.
• Coordinate UK, US, India, EU and other geographies' tax, statutory and corporate compliance with external advisers.
• Track filings, renewals, registrations and regulatory/statutory deadlines.
• Coordinate with auditors, tax advisers, company secretaries, registered agents and other professional service providers.
• Coordinate FCA, FINRA and Cayman regulatory requirements across group entities, including AML/KYC, client onboarding, PAD, conflicts, financial promotions, regulatory training and record-keeping.
• Coordinate FCA / Appointed Representative and FINRA / broker-dealer requirements with external compliance advisers, regulated principals and professional service providers.
• Support compliance requirements for M&A / investment banking transactions, asset management, funds and other regulated activities.
• Maintain compliance registers, policies, SOPs, evidence and action trackers, and ensure timely completion of regulatory obligations.
• Coordinate regulatory reviews, audits, due-diligence requests and remediation actions, and prepare concise management / Board updates.
• Identify control gaps and support implementation of practical compliance processes, systems and controls.

Skills

Excel

Reporting

Documentation

Analytical skills

Stakeholder management

Regulatory knowledge

Financial controls

Tax/statutory compliance

Regulatory processes

Education

CA / ACCA / CMA / MBA Finance or equivalent

Job description

Location: India / Remote
Experience: 6-10 years
Function: Finance & Compliance
Reporting to: Senior Management/ Director of Operations / COO

Role Overview

TH Global Capital is an international financial services group with operations across the UK, US, India, EU and other geographies, covering investment banking / M&A, deal advisory, asset management, funds and regulated financial services.

We are looking for a hands-on Finance & Compliance Manager to manage group-level finance operations and coordinate statutory, tax and regulatory compliance across multiple entities and jurisdictions.

Key Responsibilities

Finance & Accounting

• Prepare MIS, management accounts, cash-flow reports, budgets and financial analysis.
• Coordinate year-end accounts, audits, financial reviews and accounting matters with external advisers.

Tax & Statutory Compliance

• Coordinate UK, US, India, EU and other geographies' tax, statutory and corporate compliance with external advisers.
• Track filings, renewals, registrations and regulatory/statutory deadlines.
• Coordinate with auditors, tax advisers, company secretaries, registered agents and other professional service providers.

Regulatory & Compliance

• Coordinate FCA, FINRA and Cayman regulatory requirements across group entities, including AML/KYC, client onboarding, PAD, conflicts, financial promotions, regulatory training and record-keeping.
• Coordinate FCA / Appointed Representative and FINRA / broker-dealer requirements with external compliance advisers, regulated principals and professional service providers.
• Support compliance requirements for M&A / investment banking transactions, asset management, funds and other regulated activities.
• Maintain compliance registers, policies, SOPs, evidence and action trackers, and ensure timely completion of regulatory obligations.
• Coordinate regulatory reviews, audits, due-diligence requests and remediation actions, and prepare concise management / Board updates.
• Identify control gaps and support implementation of practical compliance processes, systems and controls.

Candidate Profile

• 6-10 years' experience in Finance, Compliance or a combined Finance & Compliance role, preferably within financial services, investment banking, asset management, brokerage, fund management or professional services.
• Strong practical knowledge of accounting, financial controls, tax/statutory compliance and regulatory processes.
• Exposure to FCA, FINRA, AML/KYC and/or multi-jurisdictional regulatory environments strongly preferred.
• Experience dealing with auditors, tax advisers, lawyers, compliance consultants, regulators and senior management.
• Strong Excel, reporting, documentation and analytical skills.
• Proven ability to manage multiple entities, jurisdictions, deadlines and competing priorities independently.
• Strong communication, organisation, problem-solving and stakeholder-management skills.
• CA / ACCA / CMA / MBA Finance or equivalent preferred.