Senior Compliance Review Specialist

1 week ago

Pune, Maharashtra, India beBeeAnalytical Full time US$ 80,000 - US$ 1,40,000
Supervision Analyst Role

As a Supervision Analyst, you will utilize independent judgment and discretion to ensure all Registered Representatives adhere to regulatory standards and compliance policies. This will primarily involve electronic communication reviews.

Key Responsibilities:

  • Review electronic communications sent and received by registered representatives in various systems.
  • Verify compliance with policies and procedures and document escalations.
  • Utilize third-party systems to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations.
  • Liaise with internal counterparts to finalize comments to provide to clients (when applicable).
  • Work under pressure and time constraints to ensure regulatory deadlines are met.
  • Assist with system-related tasks, such as closing out stale files, running volume reports, and uploading supporting documents.
  • Create and format regulatory certifications to provide to counterparts.
  • Compile information related to office inspections and provide to inspectors.

Requirements:

  • Bachelor's or master's degree or equivalent work experience.
  • Minimum 3 years of relevant work experience, preferably in financial services.

Why Join Our Organization?

Our organization is committed to fostering a culture of growth through continuous learning and transparency. We value diversity and maintain an inclusive environment that welcomes individuals from diverse backgrounds.

Benefits:

  • A dynamic and supportive work environment.
  • Opportunities for professional development and growth.
  • Recognition and reward for outstanding performance.

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