Senior Financial Compliance Specialist

Job Title: Senior Compliance AnalystThe Senior Compliance Analyst plays a critical role in ensuring the firm's compliance with applicable rules and regulations, policies, and procedures. This position requires a high level of expertise in regulatory affairs and a strong understanding of the financial industry.Key Responsibilities:Process and resolve customer...

Investment Guidelines Monitoring and Compliance SpecialistThe role of Investment Guidelines Monitoring and Compliance Specialist is to ensure that all investment activities are conducted in accordance with relevant laws, regulations, and internal policies. This involves monitoring investment guidelines, investigating exceptions, and working closely with...

Job SummaryWe are seeking a highly skilled Compliance Lead to join our team at Ameriprise India LLP. The successful candidate will be responsible for ensuring compliance with regulatory requirements and guidelines in the EMEA region.Key ResponsibilitiesConduct thorough reviews of IMAs and prospectuses to identify and analyze investment guidelines and...

Job SummaryThe Compliance Analyst will play a key role in ensuring that our advisors and the firm comply with applicable rules and regulations, policies, and procedures.Key Responsibilities:Process and resolve customer complaints efficiently, accurately, and timely to meet regulatory requirements and expectations.Negotiate complex client settlements and...

Job SummaryThe Senior Financial Reporting Specialist will be responsible for overseeing the preparation and filing of quarterly and annual 10-Q/K reports for the company, ensuring accuracy, compliance, and timely submission in accordance with regulatory requirements.Key Responsibilities:Preparation and Review: Lead the preparation of the 10-Q/K filings,...

Job Summary: As a Compliance Analyst at Ameriprise India LLP, you will play a critical role in ensuring our advisors and the firm comply with applicable rules and regulations, policies, and procedures.About the Role: The Compliance Analyst is responsible for reviewing and recommending appropriate outcomes to client complaints and handling FINRA filings when...

Job SummaryThe Compliance Analyst is a key member of our Complaints team, responsible for ensuring our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This position plays a crucial role in mitigating regulatory risk to the firm by effectively and timely processing complaints.Key ResponsibilitiesProcess and...

The Compliance Analyst plays a pivotal role in ensuring our financial advisors and firm adhere to pertinent rules and regulations, policies, and procedures. This critical position involves the effective and timely processing of client complaints to mitigate regulatory risk to the firm.Key Responsibilities:End-to-end processing and resolution of customer...

Job Summary:We are seeking a highly skilled Tax Compliance Specialist to join our team at 2062 CSC India. As a Tax Compliance Specialist, you will play a critical role in ensuring the accuracy and completeness of our tax compliance and reporting processes.Key Responsibilities:Support tax compliance and reporting processes, assisting in ensuring accuracy and...

Job SummaryThe Compliance Analyst is a key member of our Complaints team responsible for ensuring our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This role is crucial in mitigating regulatory risk to the firm.Key ResponsibilitiesThe end-to-end processing and resolution of customer complaints and field...

Job Title: Data Governance SpecialistAt Ameriprise Financial, we are seeking a highly skilled Data Governance Specialist to join our team. As a Data Governance Specialist, you will play a critical role in ensuring the integrity and security of our data assets.Key Responsibilities:Develop and implement data governance policies and procedures to ensure...

Job SummaryThe Compliance Lead will work on new account setup in compliance systems for the EMEA region. This role involves reviewing and analyzing investment guidelines and restrictions, coordinating with various teams to clarify interpretive issues, and ensuring guidelines are effectively coded into compliance systems. Additionally, the Compliance Lead...

Job SummaryThe Compliance Analyst is a key member of our Complaints team, responsible for ensuring our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This role is crucial in mitigating regulatory risk to the firm.Key ResponsibilitiesProcess and resolve customer complaints and field requests, including contacting...

Role OverviewThis is a Senior Financial Analyst role primarily focused on supporting the Reinsurance group by running the monthly billing process for multiple re-insurers and analyzing trends. The role will also require supporting the claims process and preparing wires for approvals, ensuring proper documentation around the process and audit support.Key...

Job Title: Compliance Lead Job Summary: We are seeking a highly skilled Compliance Lead to join our team in the EMEA region. The successful candidate will be responsible for ensuring that our compliance systems are effective in monitoring investment guidelines and regulatory rules. Key Responsibilities: * Perform timely and effective reviews of IMAs and...

Risk and Compliance SpecialistPaytm, India's leading digital payments and financial services company, is seeking a Risk and Compliance Specialist to join its team. As a Risk and Compliance Specialist, you will be responsible for developing and deploying analytical solutions and providing data-driven insights to business stakeholders to understand and solve...

White Force Outsourcing Pvt Ltd is seeking a Senior Tax Compliance Specialist to ensure end-to-end completion of compliance related to Income Tax, VAT, TDS, and GST of the company and its Directors. The ideal candidate will resolve tax accounting & cost-related issues, review complete tax forms, and provide recommendations to junior members of the team.Key...

Key Responsibilities:As a Compliance Group Lead, you will be responsible for monitoring Investment guideline compliance to approve Orders/Trades pre-trade and review compliance alerts at a post-trade level. Key responsibilities include:Investigation and resolution of pre-trade and post-trade investment guideline exceptionsCollaboration with portfolio...

Job SummaryThe Compliance Group Lead will be responsible for monitoring investment guidelines to approve orders/trades pre-trade and reviewing compliance alerts at a post-trade level. This role requires a strong understanding of financial markets, investment vehicles, and asset classes.Key ResponsibilitiesInvestigation and resolution of pre-trade and...

Key Responsibilities:As a Senior Tax Compliance Specialist at White Force Outsourcing Pvt Ltd, you will be responsible for ensuring end-to-end completion of compliance related to Income Tax, VAT, TDS, and GST of the company and its Directors. This includes resolving tax accounting and cost-related issues, reviewing complete tax forms, and providing...