25 Broker Dealer Compliance Jobs nearby Vellore

In this role as an Advisor - Compliance at FC Global Services India LLP, your main responsibility will be to review electronic communications to ensure compliance with regulatory requirements and company policies. You will be expected to investigate and review flagged communications, escalate potential violations promptly, collaborate with team members, maintain up-to-date knowledge of regulatory requirements, and provide clear communication of findings and recommendations to internal stakeholders. Your attention to detail, strong organizational skills, and ability to work independently or with a team will be crucial in this role. Key Responsibilities: - Review electronic communications in various channels for potential violations of FINRA and SEC regulations - Investigate and review flagged communications in a timely manner, ensuring prompt escalation of potential violations - Collaborate with team members to address identified issues and support resolution of escalated matters - Maintain current knowledge of FINRA and SEC regulatory requirements and company policies - Document findings accurately and comprehensively, providing clear and concise communication of recommendations to internal stakeholders - Support audits and regulatory inquiries by providing necessary documentation and insights Qualifications: - Strong organizational skills, attention to detail, and communication skills - Ability to work independently or with a team, meet deadlines, and adapt to shifting priorities - Previous compliance experience, preferably in a broker-dealer, investment adviser, or asset management firm - Knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting - Proficiency in Microsoft Office - Experience with e-Surveillance preferred - Proficiency with Global Relay surveillance platform is a plus In this role, your contributions will play a key part in maintaining a culture of compliance and integrity within the organization. Your expertise in monitoring electronic communications and applying regulatory requirements will be essential in ensuring the company's adherence to standards. If you require any accommodations during the hiring process, please inform us so that we can ensure a seamless experience. FC Global Services India LLP is an equal opportunity employer, committed to providing an inclusive and accessible work environment.,

As a Relationship Partner within the Commercial & Investment Bank Wholesale KYC Operations team at our company, your role will involve managing the Front Office relationship for business requests in KYC Onboarding, Remediation, and Renewals for India. You will play a crucial part in facilitating the end-to-end client onboarding process and ensuring that all due diligence documentation is sourced and delivered to the Wholesale Client Onboarding team for incorporation into the KYC platform. Your collaboration with Bankers, Operations, Credit, Legal, and Compliance teams will be essential in providing efficient and timely onboarding of new and existing client relationships to the JP Morgan infrastructure. **Key Responsibilities:** - Work closely with the Front Office focusing on MNC & HQ Corporates, Fintech/NBFIs, broker-dealers, Insurance, etc., and potentially directly with clients to manage new business requests and scheduled renewals, facilitating the KYC process end-to-end. - Act as a Subject Matter Expert and Due Diligence expert to guide clients through the KYC requirements and variations of documents to fulfill due diligence requirements. - Conduct in-depth analysis on the ownership structure of the client using publicly available sources or client documentation, seeking additional confirmation or approvals as necessary. - Liaise regularly with the business for workload planning, review status of key onboardings, prioritize open requests, and collaborate with key stakeholders such as Legal, Compliance, Credit, and Operations to develop strong partnerships, eliminate roadblocks, and ensure continuity of information flow. - Manage personal workload and priority items, ensuring timely escalation of key risks/issues to management while maintaining timelines. - Stay informed on any changes to processes, procedures, regulatory requirements, and maintain open verbal dialogue with colleagues across the region. - Identify and implement process improvements, offer guidance and support on key process and technology initiatives to the business. **Qualifications Required:** - Minimum of 3 years of experience in KYC/Client Onboarding/Audit/Control/Risk/Anti-Money Laundering within the Banking Industry. - Working knowledge of KYC/Compliance/AML procedures and standards. - Strong time management, organizational, and relationship-building skills. - Quality client focus, strong controls mindset, and excellent customer service skills, including oral and written communication. - Prior experience in adhering to controls and compliance standards. - Bachelor's Degree in Finance, Economics, or related disciplines. In addition to the above details, if there are any additional company-specific information provided in the job description, please share it.,

As a Senior Chief Manager - Accounts at TradeAir (IFSC), your role will involve the following responsibilities: - Act as the Single Point of Contact (SPOC) for fund administrators, overseeing reconciliation, reporting, and related activities. Currently leading the transition project between fund administrators. - Lead accounting functions across various business verticals like FME and Broker-Dealer, focusing on creating synergies and efficiencies. - Prepare cash, position, and market value reconciliations to ensure accurate portfolio reporting. - Collaborate with internal teams and external partners to enhance processes and introduce new financial products and services. - Provide comprehensive support during audits, including preparing financial statements and resolving audit queries. - Compile and present Management Information System (MIS) reports for strategic decision-making. - Ensure compliance with regulatory requirements such as TDS, GST, SEZ, and IFSC. - Timely and accurate filing of quarterly TDS returns and monthly GST returns. - Prepare financial statements in compliance with relevant financial reporting standards such as Ind AS, IFRS, or US GAAP. - Supervise a team of two to three associate/junior accountants. Qualifications required for this role include: - Inter CA, Semi-Qualified CA, Postgraduate in Commerce, or MBA in Finance. - Strong understanding of accounting principles and financial reporting. - Knowledge of TDS, GST, IFSC, and SEZ compliance requirements. - Ability to proactively initiate tasks and ask relevant questions to ensure accuracy and efficiency.,

As a strategic Product Manager at Corebridge Financial, you will be leading the development, management, and enhancement of digital tools and services for wealth management products and solutions. You will shape the product vision and ensure the end-to-end experience for retail products and platforms align with client needs, market trends, regulatory requirements, and business goals. **Responsibilities:** - Develop and manage the product roadmap for wealth management solutions, including retirement solutions, investment products, advisory platforms, and digital tools. - Conduct market research and competitive analysis to identify client needs and product opportunities. - Own and manage the product backlog, prioritizing features based on client needs, regulatory compliance, and business goals. - Collaborate with cross-functional teams to bring products to the market. - Monitor product performance, usage, and profitability and drive enhancements to meet KPIs. - Ensure products remain compliant with regulatory standards. - Gather and prioritize product requirements from internal stakeholders and clients. - Prepare and deliver training, product materials, and marketing content. - Lead product launches and manage go-to-market strategies. - Serve as a subject matter expert for internal and external stakeholders. **Qualifications:** - Bachelor's degree in Business, Finance, Computer Science, or related field. - 5+ years of experience as a Product Manager in wealth management, investment advisory, or retirement services. - Strong knowledge of investment products, financial planning, and industry regulations. - Proven experience in Agile development environments. - Excellent communication skills and the ability to explain technical concepts to non-technical audiences. - Experience with tools such as Jira and Confluence. - Customer-centric focus and ability to build internal relationships. **Preferred Qualifications:** - Experience with Salesforce, managed investing, and broker-dealer platforms. - Understanding of user-centric design and digital technology. - Familiarity with APIs and integration with 3rd party providers. - Knowledge of the defined contribution retirement market. **About Corebridge Financial:** At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program support employees both personally and professionally, ensuring they have the resources and flexibility needed to thrive. We are committed to working with and providing reasonable accommodations to job applicants and employees, including those with physical or mental disabilities or sincerely held religious beliefs. If you need a reasonable accommodation during the application or hiring process, please email TalentandInclusion@corebridgefinancial.com. Visit www.corebridgefinancial.com to learn more about us. Corebridge Financial is an Equal Opportunity Employer. As a strategic Product Manager at Corebridge Financial, you will be leading the development, management, and enhancement of digital tools and services for wealth management products and solutions. You will shape the product vision and ensure the end-to-end experience for retail products and platforms align with client needs, market trends, regulatory requirements, and business goals. **Responsibilities:** - Develop and manage the product roadmap for wealth management solutions, including retirement solutions, investment products, advisory platforms, and digital tools. - Conduct market research and competitive analysis to identify client needs and product opportunities. - Own and manage the product backlog, prioritizing features based on client needs, regulatory compliance, and business goals. - Collaborate with cross-functional teams to bring products to the market. - Monitor product performance, usage, and profitability and drive enhancements to meet KPIs. - Ensure products remain compliant with regulatory standards. - Gather and prioritize product requirements from internal stakeholders and clients. - Prepare and deliver training, product materials, and marketing content. - Lead product launches and manage go-to-market strategies. - Serve as a subject matter expert for internal and external stakeholders. **Qualifications:** - Bachelor's degree in Business, Finance, Computer Science, or related field. - 5+ years of experience as a Product Manager in wealth management, investment advisory, or retirement services. - Strong knowledge of investment products, financial planning, and industry regulations. - Proven experience in Agile development environments. - Excellent communication skills and the ability to explain technical concepts to non-technical audiences. - Experience with tools such as Jira and Confluence. - Customer-centric focus and ability to build internal relationships. **Preferred Qualifications:** - Experience with Salesforce, managed investing, and broker-dealer platforms. - Understa

Are you looking for an opportunity to be a part of a great team with a winning culture, empowered to serve our customers with a high-quality set of products and services maintaining the highest standards of operational excellence You have found the right team! In this role as a Relationship Partner within the Commercial & Investment Bank Wholesale KYC Operations team, you will be responsible for managing the Front Office relationship for business requests in KYC Onboarding, Remediation, and Renewals for India. You will facilitate the end-to-end client onboarding process, ensuring all due diligence documentation is sourced and delivered to the Wholesale Client Onboarding team to incorporate into the KYC platform. You will be part of a team that operates in close partnership with Bankers, Operations, Credit, Legal, and Compliance to provide efficient and timely onboarding of new/existing client relationships to the JP Morgan infrastructure. **Key Responsibilities:** - Work closely with the Front Office focusing on MNC & HQ Corporates, Fintech/NBFIs, broker dealer, Insurance, etc., and potentially direct with clients to manage new business requests received as well as scheduled renewals from the Front Office and facilitate the KYC process end-to-end - Act as a Subject Matter Expert (SME) and Due Diligence expert to guide clients through the KYC requirements and variation of documents which may fulfill due diligence requirements - Conduct in-depth analysis on the ownership structure of the client on publicly available sources (not limited to company registries) or client documentation, and seek additional confirmation or approvals as required - Liaise regularly with the business to conduct workload planning, review the status of key onboardings, prioritize open requests, and collaborate with key stakeholders such as Legal, Compliance, Credit, and Operations to develop strong partnerships, eliminate roadblocks, and ensure continuity of information flow across the groups - Manage personal workload and priority items, ensure timely escalation of key risks/issues to management maintaining timelines - Keep informed of any changes to processes and procedures, regulatory changes, and ensure open verbal dialogue with colleagues across the region - Identify and execute process improvements, provide guidance, and support on key process and technology initiatives to the business **Qualification Required:** - Minimum of 3 years of experience in KYC / Client Onboarding / Audit / Control / Risk / Anti-Money Laundering within the Banking Industry - A working knowledge of KYC/Compliance/AML procedures and standards - Strong time management, organizational, relationship building skills - Quality client focus, strong controls mindset, and strong customer service skills (e.g., oral and written communication skills) - Prior experience of adhering to controls and compliance standards - Bachelor's Degree in Finance, Economics, or other related disciplines The job description does not contain any additional details about the company. ,

Role Overview: As a CIB Portfolio Manager at Wells Fargo's CIB Markets Counterparty Credit Management (CCM) Underwriting and Portfolio Management team in India, you will be part of the global team responsible for underwriting, grading, and monitoring institutional client types such as Broker Dealers, Mortgage REITs, CCPs, GSEs, regulated funds, hedge funds, and private equity funds. Your primary focus will be on entities transacting with the CIB Markets Division. Key Responsibilities: - Participate in monitoring, documenting, underwriting, and reacting to the credit quality of an assigned portfolio within the CIB Portfolio Management functional area - Contribute to large scale planning related to functional area - Identify opportunities for process improvements - Review and analyze less complex business, operational, or technical assignments - Present recommendations for resolving more complex situations - Collaborate and consult with functional colleagues, internal partners, and stakeholders Qualifications Required: - 2+ years of CIB Portfolio Management experience or equivalent demonstrated experience in work, training, military, or education Desired Qualifications: - Manage functions across the CCM team including processing new or changes to limits - Coordinate requests with Risk and track associated documents - Input credit limits into Wells Fargo Risk System - Perform underwriting for sectors covered by the CCM team - Identify opportunities for process improvements - Review and identify basic operational assignments - Provide support for Desk Limit Program and Agent Lending Disclosure Management - Input default limit and grades - Track counterparty and product exposures - Distribute monthly portfolio reporting - Perform annual counterparty and program reviews Additional Company Details: The job expects you to have 2+ years of credit risk experience in a financial institution, knowledge of capital markets and counterparty credit risk, strong written and verbal communication skills, strong analytical skills, ability to work in a fast-paced environment, commitment to risk management, and a degree in business administration, economics, finance, or related field. The office presence is required for a minimum of 3 days/week in the office with US shift hours in Hyderabad. Please note that the job posting may close early due to a high volume of applicants. Wells Fargo values equal opportunity and emphasizes a customer-centric approach combined with a strong risk management and compliance culture. If you require a medical accommodation during the application process, please visit Disability Inclusion at Wells Fargo. Wells Fargo maintains a drug-free workplace and prohibits third-party recordings during the recruitment process.,

As a System Administrator at Broadridge Financial Solutions, Inc., you will play a crucial role in configuring and maintaining Broadridge's S2P platform to align with procurement processes. Your responsibilities will include collaborating with various teams to translate business requirements into effective system configurations, providing end-user support, ensuring data integrity, and identifying and implementing system enhancements to improve process efficiency. You will also be responsible for maintaining comprehensive documentation, ensuring compliance with security policies and regulatory requirements, and liaising with software vendors to resolve issues and manage upgrades. Additionally, you will support change management by communicating new features, training users, and driving system adoption. Key Responsibilities: - Configure and maintain Broadridge's S2P platform to align with procurement processes, including workflows, user roles, data fields, and system integrations. - Collaborate with procurement, sourcing, vendor management, and finance teams to translate business requirements into effective system configurations. - Provide end-user support (Buyers, Suppliers), troubleshoot system issues, and manage access to ensure smooth operations. - Ensure data integrity through uploads, updates, validations, and consistency monitoring. - Identify, design, and implement system enhancements to improve process efficiency and user experience. - Develop and execute test plans to validate configuration changes against business needs. - Maintain comprehensive documentation, including system configurations, process maps, SOPs, and user guidance materials. - Ensure compliance with security policies, data protection standards, and regulatory requirements. - Liaise with software vendors (Coupa/Zycus) to resolve issues, request enhancements, and manage upgrades. - Support change management by communicating new features, training users, and driving system adoption. - Manage communication and training related to supplier onboarding and template/process changes. - Support catalog management, ensuring compliance with standard processes. - Generate reports and analytics from the S2P platform to support procurement decision-making. - Track and manage incidents, maintaining an internal issue log and providing metrics for business reviews. Qualifications and Experience: - Education: Bachelor's degree or equivalent experience. - Experience: 3-5 years in System Administration, Analyst, or similar technology-support role. - Preferred System Exposure: Coupa, SAP Ariba, or Zycus. Skills & Competencies: - Hands-on experience in configuring and maintaining S2P platforms. - Strong understanding of procurement, sourcing, invoicing, catalog, and vendor management processes. - Experience with cXML integration setup and troubleshooting. - Analytical mindset with strong problem-solving and reporting skills. - Strong communication and stakeholder management skills. - Proficient in Microsoft Office Suite. - Experience in process mapping, SOP creation, and change management. - Familiarity with ERP systems and cloud-based procurement platforms. - Project management and/or Lean Six Sigma experience a plus. - Proven team player who thrives in a fast-paced, goal-oriented environment. About Broadridge: Broadridge Financial Solutions, Inc. is a global Fintech leader delivering advanced communications, technology, data, and analytics solutions to clients across the financial services industry. With over $6 billion in revenues and serving clients in over 100 countries, Broadridge plays a vital role as a trusted partner to banks, broker-dealers, mutual funds, and corporate issuers, helping them operate efficiently and serve investors effectively. At Broadridge, innovation, collaboration, and excellence are fostered in an environment where technology and talent come together to make a meaningful impact. Why Join Broadridge: - Global Impact: Work with a leading Fintech company shaping the future of financial technology and operations worldwide. - Innovation-Driven Environment: Be part of an organization that embraces technology evolution, intelligent automation, and continuous improvement. - Career Growth: Broadridge offers dynamic career pathways, professional development, and global mobility opportunities. - People First Culture: Experience a collaborative, diverse, and inclusive workplace where ideas are valued, and contributions are recognized. - Purpose and Stability: Join a trusted, publicly listed company with a strong purpose powering transparency, governance, and investor confidence.,

In this role as a Financial Reporting Analyst at Wells Fargo, you will play a key role in meeting the company's regulatory, Security and Exchange Commission, and other external financial reporting requirements. Your responsibilities will include leading the planning and execution strategy of large, complex external financial reporting requirements, providing technical interpretation on various matters, and driving the adoption of best practices within the functional area. You will also be leading the implementation of complex projects impacting multiple lines of business across the enterprise and developing stakeholder relationships to increase their awareness and engagement in the reporting process. Key Responsibilities: - Lead and direct accounting technical regulatory capital and regulatory reporting guidance - Lead technical advisory and reporting delivery in coordination with regulatory reporting reviews performed by United States Federal Banking and Broker Dealer agencies - Obtain and maintain SME knowledge of regulatory reports including FFIEC 101, Pillar 3, Call Report RC-R, FR Y-9C HC-R, and FR Y-14Q Schedule D - Support the quarterly earnings estimate process for Supplementary Leverage Ratio and Supplementary Leverage Exposure - Ensure compliance with regulatory requirements under the Company's Regulatory and Risk Reporting Governance & Oversight Framework - Perform validations, reconciliations, checks, and variance analysis to ensure adherence to regulatory instructions - Partner with various teams to ensure consistent adherence to regulatory rules and support key projects to meet changing regulatory reporting requirements Qualifications Required: - 2+ years of Finance, Accounting, Financial Reporting experience, or equivalent - B. Tech/CA/MBA degree or higher preferred with relevant 4+ years of experience in finance, accounting, analytics, or reporting - Solid analytical skills from a Regulatory Reporting perspective, specifically in Basel and Capital Reporting - Ability to actively participate in workflow and task execution within a team environment - Experience in US Regulatory Reporting highly desired - Excellent verbal, written, and interpersonal communication skills - Strong analytical skills with high attention to detail and accuracy - Knowledge and understanding of research and analysis Additional Details: Wells Fargo values Equal Opportunity, with a focus on building strong customer relationships while maintaining a risk mitigating and compliance-driven culture. Employees are accountable for executing risk programs and adhering to Wells Fargo policies and procedures. Proactive monitoring, risk identification, and making sound risk decisions are essential for success. Please note that the job posting for the Financial Reporting Analyst position at Wells Fargo is open until 9 Oct 2025, but it may close earlier due to the volume of applicants. Wells Fargo maintains a drug-free workplace and requires candidates to represent their own experiences during the recruiting and hiring process.,

As the Principal Officer in our organization, you will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. Your role will be crucial in ensuring that all business and operational activities are compliant with IFSCA & NSE IX guidelines. The ideal candidate for this position will possess hands-on experience in retail broking, exchange reporting, and back-office operations, coupled with strategic leadership skills. Key Responsibilities: - Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per all prescribed formats (e.g., trade logs, client activity, UCC validations, etc.). - Oversee handling of audit queries and routine inspection responses from exchanges or regulators. - Broker Operations Management: - Run and improve daily broking workflows: client onboarding, order management, trade execution, margin monitoring, auto square-offs, reconciliations, and settlements. - Coordinate with back-office vendors, tech platforms, and clearing members to ensure timely reconciliation and settlements. - Maintain updated SOPs for customer onboarding, trade lifecycle, compliance reporting. - Risk, BCP & Cybersecurity Oversight: - Ensure robust risk management frameworks around client exposures, capital adequacy, and liquidity buffers. - Oversee development and testing of business continuity plans (BCP) and cybersecurity policies, as mandated. - Grievance & Client Communication Oversight: - Ensure timely redressal of client grievances, reporting of complaints, and root cause analysis. - Maintain a transparent and well-documented grievance handling process in accordance with IFSCA expectations. - Strategic Execution & Leadership: - Drive operational readiness for new product rollouts. - Represent in industry forums, regulatory interactions, and product discussions. - Align broking operations with the company's business strategy, working cross-functionally with legal, compliance, technology, and product teams. Qualifications & Experience: Experience Requirements: - Minimum 3 years of experience in the financial services market. - Preferred hands-on experience in a SEBI or IFSCA-registered broking entity, with clear exposure to operations, exchange compliance, and client servicing. - Deep understanding of end-to-end brokerage workflows including client onboarding, order execution, margin monitoring, settlements, and reconciliations. Education Requirements: - Postgraduate degree or diploma (min. 1-year duration) in finance, commerce, law, economics, capital markets, banking, accountancy, insurance, or actuarial science. - OR recognized professional certifications such as CFA / FRM / CA / CS / CMA or equivalent foreign designations. - OR undergraduate degree with 10+ years of financial services experience. Skills & Competencies: - Strong understanding of IFSCA broker-dealer regulations, SEBI regulations, and FEMA applicability. - Excellent documentation and reporting discipline (SOPs, audit logs, inspection notes). - Strong stakeholder management and communication skills to interact with regulators, auditors, and clients. - Demonstrated integrity, operational maturity, and attention to detail.,

As a Principal Officer - Broker Dealer at Betafront Securities (IFSC) Private Limited, your primary role will be to lead and supervise all regulatory, operational, and compliance aspects of the broking business, ensuring day-to-day readiness, exchange compliance, and business scalability. Key Responsibilities: - Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per prescribed formats. - Oversee handling of audit queries and routine inspection responses. - Broker Operations Management: - Run and improve daily broking workflows including client onboarding, order management, trade execution, and settlements. - Coordinate with back-office vendors, tech platforms, and clearing members for timely reconciliation. - Maintain updated SOPs for customer onboarding and compliance reporting. - Risk, BCP & Cybersecurity Oversight: - Ensure robust risk management frameworks around client exposures and capital adequacy. - Oversee development and testing of business continuity plans and cybersecurity policies. - Grievance & Client Communication Oversight: - Ensure timely redressal of client grievances and maintain a transparent grievance handling process. - Strategic Execution & Leadership: - Drive operational readiness for new product rollouts and represent the company in industry forums. - Align broking operations with the business strategy and work cross-functionally with legal, compliance, technology, and product teams. Experience Requirements: - Minimum 3 years of hands-on experience in a SEBI or IFSCA-registered broking entity. - Deep understanding of brokerage workflows, exchange compliance, and client servicing. - Familiarity with stock exchange processes and regulatory reporting obligations. Education Requirements: - Postgraduate degree or diploma in finance, commerce, law, economics, or related fields. - Professional certifications such as CFA, FRM, CA, CS, CMA, or equivalent. - Alternatively, undergraduate degree with 10+ years of financial services experience. Skills & Competencies: - Strong understanding of broker-dealer regulations and regulatory frameworks. - Excellent documentation and reporting skills. - Strong stakeholder management and communication abilities. - Demonstrated integrity, operational maturity, and attention to detail.,

As a Regulatory Compliance professional at RSM, you will play a crucial role in managing and delivering assessments covering regulatory compliance for various financial institutions. Your expertise in internal audits, anti-money laundering, lending, and deposit compliance reviews will be key in identifying areas of non-compliance with banking laws and regulations, providing actionable recommendations to clients, and ensuring high-quality client service. **Key Responsibilities:** - Manage and deliver assessments covering regulatory compliance for banks, credit unions, broker dealers, and other financial institutions. - Perform BSA/AML/OFAC independent testing for community-based financial institutions, including credit unions. - Conduct engagements from planning to final wrap-up, including exit meetings and preparation of reports. - Identify areas of non-compliance and provide actionable recommendations. - Demonstrate expertise in lending and deposit compliance and BSA. - Communicate with clients on review process, conclusions, and potential improvements. - Stay updated on industry regulations and enhance competency through continuing education and obtaining certifications. **Qualifications Required:** - Bachelor's degree in accounting, finance, or related business field, or a law degree. - Minimum 2 years of regulatory compliance experience in financial institutions. - Understanding of banking laws and regulations such as FCRA, TILA, HMDA, Fair Lending, TISA, BSA, and other related requirements. - Knowledge of consumer financial products and services. - Experience in a public accounting firm, financial institution, or regulatory agency. - Preferred certifications like CRCM, CAMS, CCBCO, AMLP. - Understanding of FINRA and SEC rules. RSM offers a competitive benefits and compensation package, flexibility in schedule, and a supportive work environment that empowers you to serve clients while balancing life's demands. Learn more about total rewards at [RSM Careers India](https://rsmus.com/careers/india.html). If you require accommodation due to disabilities during the recruitment process or employment, RSM is committed to providing equal opportunities and reasonable accommodation. Contact us at careers@rsmus.com for assistance.,

Role Overview: As a Compliance Officer for AFC & Compliance Testing at Deutsche Bank, you will be a part of the DWS Anti-financial Crime (AFC) and Compliance Testing team, responsible for evaluating the firm's compliance with laws and regulations. Your role will involve supporting the Americas Head of AFC and Compliance Testing in conducting reviews, tests, and branch inspections to ensure effective mitigation of AFC and Compliance risk within DWS in the Americas Region. Key Responsibilities: - Perform AFC and Compliance reviews to assess compliance with legal, regulatory, and internal firm policy requirements for DWS products and services in the Americas, and potentially in global reviews covering other regions. - Develop testing modules, conduct testing across DWS Americas business activities, and evaluate adherence to regulatory requirements. - Build and maintain relationships with business line leadership, Operations groups, Internal Audit, and other stakeholders in the region. - Support the development of testing universe and review plan based on the annual AFC and compliance risk assessment. - Design effective testing scripts to identify control gaps and non-compliance with laws and regulations. - Identify AFC and Compliance risks in business processes, assess control framework effectiveness, and guide the development of remediation plans. - Prepare and distribute reports detailing review findings and recommendations to DWS leadership and senior management. - Ensure findings and recommendations are entered into the issue tracking system for corrective actions and perform follow-up for proper resolution. - Meet with senior management to provide an overview of significant risks and control gaps. - Assist in drafting periodic reports to senior management and regulators and support ad hoc projects. Qualifications Required: - BA or BS Degree required, JD or MBA a plus. Additional Company Details: Deutsche Bank aims for a culture of empowerment, responsibility, commercial thinking, initiative, and collaboration. The company values continuous learning, training, and development to aid in career progression. They promote a positive, fair, and inclusive work environment, welcoming applications from all individuals. Visit the company website for further information: [Deutsche Bank Website](https://www.db.com/company/company.htm),

As a Company Secretary/Compliance professional at Oister Global, your role will be crucial in ensuring corporate compliance, governance, and efficient administration of company affairs. Your responsibilities will include: - Ensuring compliance with SEBI Regulations applicable to Alternative Investment Funds, Intermediaries, GIFT City IFSCA, and all allied regulations. - Spearheading compliance and risk management activities for the Funds and developing an annual compliance calendar. - Ensuring timely submission of required filings and reports. - Having a strong understanding of regulatory requirements under Companies Act, FEMA, etc. for transactions carried out for the Funds. - Drafting and reviewing policies, processes, and systems to meet compliance requirements for the Funds. - Staying updated about the latest regulatory changes and requirements, particularly those related to the AIF, SEZ Act, KYC/AML laws, and SEBI AIF IFSC Guidelines. - Preparing, analyzing, and validating various reports, including compliance reports for presentation to the Board and regulators. - Maintaining all statutory registers and secretarial records. - Organizing and maintaining documents related to AIF investments, ensuring accurate reporting to the Trustee, contributors, and regulators. - Managing statutory filings and submissions for AIF, including updating Private Placement Memorandums. - Monitoring and reporting compliances relating to investors" servicing to statutory authorities. - Imparting training on various compliance topics while implementing new policies/procedures on an ongoing basis. - Protecting the entity from any material regulatory or compliance risk/breaches, including Financial Crimes Compliance. - Working closely with legal and other internal departments to ensure a cohesive approach to compliance. - Liaising with external advisors, auditors, and legal counsel. Qualifications required for this role: - Hold qualification as a member of the Institute of Company Secretaries of India (ICSI), or as a member of the Institute of Chartered Accountants of India (ICAI), or a LLB with relevant experience. - Have at least 2-3 years of experience in related activities in the securities market or financial products, including in a portfolio manager, broker-dealer, investment advisor, wealth manager, research analyst, or fund management. - Possess relevant secretarial experience, preferably in a financial sector company. - Have experience conducting research on SEBI AIF Regulations, FEMA, and investment regulations across various sectors, industries, and jurisdictions; ideally, have experience dealing with foreign law firms in this context.,

Role Overview: FC Global Services India LLP, a part of First Citizens BancShares, Inc., is a global capability center (GCC) based in Bengaluru. The company boasts a legacy of over 125 years, focusing on delivering value and managing risks for its lines of business. The organization is known for its strong, relationship-driven culture and a long-term approach ingrained in its workforce across various key operational areas. Key Responsibilities: - Review electronic communications identified via First Citizens electronic communication surveillance platform for potential violations of regulatory regulations and company policies. - Investigate and review flagged communications in a timely manner, escalating potential violations promptly. - Collaborate with the e-Surveillance and Compliance team to address identified issues and support the resolution of escalated matters. - Stay updated on applicable FINRA and SEC regulatory requirements and company policies related to communications monitoring. - Document findings accurately, provide clear communication of recommendations to internal stakeholders, and support audits and regulatory inquiries. Qualifications Required: - Strong organization skills, attention to detail, and communication skills. - Ability to work independently or with a team, meet deadlines, and pivot as priorities shift. - Previous Compliance experience, preferably within a broker-dealer, investment adviser, or asset management firm. - Comprehensive knowledge of FINRA and SEC regulations related to communications. - Proficiency in Microsoft Office and experience with e-Surveillance preferred. - Ability to research and analyze electronic communications and differentiate between issues and non-issues. - Proficiency with the Global Relay surveillance platform is a plus.,

Role Overview: You will be joining Corporate Compliance team at FC Global Services India LLP as a Senior Manager - Compliance. Your primary responsibility will be to review electronic communications to ensure compliance with regulatory requirements and company policies. You will play a crucial role in maintaining a culture of compliance and integrity within the organization. Key Responsibilities: - Review electronic communications flagged for potential violations and suspicious activity - Communicate feedback and findings to Compliance team - Identify enhancements for surveillance lexicons - Provide guidance and oversight for reviewers - Conduct quality assurance activities for reviewed communications - Support onboarding of new reviewers - Provide backup support during peak review volumes - Timely review and update of procedures and documentation Qualifications Required: - Strong organizational skills, attention to detail, and communication skills - Ability to work independently or with a team, meet deadlines, and adapt to changing priorities - Knowledge of regulatory landscape related to e-surveillance - Proficiency in Microsoft Office - Previous Compliance experience in broker-dealer, investment adviser, or asset management firm - Familiarity with FINRA and SEC regulations - Ability to make independent judgments and discretion in communication dispositioning - Proficiency with Global Relay surveillance platform is a plus Additional Details: FC Global Services India LLP, a part of First Citizens BancShares, Inc., is a global capability center in Bengaluru. The company has a strong culture of relationship-driven values and a long-term approach ingrained in its talented workforce. The organization is committed to providing an inclusive and accessible hiring process, ensuring equal employment opportunity for all candidates. If you require accommodations during any stage of the process, please inform the team for a seamless experience.,

Role Overview: As the Principal Officer for the Fund Management Entity within the SPEC Finance Group Company, you will be in a senior leadership position overseeing the operations of the Fund Management Company. Your primary responsibility will be to ensure full compliance with the IFSCA (Fund Management) Regulations and other relevant laws. You will lead the fund management team to achieve operational and strategic objectives while maintaining the highest standards of integrity and professionalism. Key Responsibilities: - Ensure compliance with all IFSCA regulations, guidelines, and legal requirements. - Oversee the implementation of investment strategies in alignment with the funds" approved mandate and regulatory framework. - Serve as the primary point of contact for IFSCA and other regulatory bodies, managing all interactions and submissions. - Prepare and submit timely and accurate reports, disclosures, and documentation to IFSCA and stakeholders. - Develop, implement, and monitor comprehensive risk management policies and compliance protocols. - Lead, mentor, and develop the fund management team, fostering a culture of excellence and regulatory adherence. - Stay updated on regulatory changes and ensure proactive adaptation to maintain compliance. - Review and approve investment decisions consistent with the funds" risk appetite and objectives. - Ensure transparent and timely communication with investors, providing performance updates and financial reports. - Represent the company in regulatory meetings, industry forums, and investor engagements. - Effectively communicate with and respond to the Board of Directors, Regulatory Authorities, and Stakeholders with clarity, accuracy, and professionalism. Qualifications: - A professional qualification, postgraduate degree, or postgraduate diploma (minimum 2 years) in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Markets, Banking, Insurance, or Actuarial Science from a recognized university/institution; OR - Certification from any organization, institution, association, or stock exchange recognized/accredited by the IFSCA, a regulator in India, or a foreign jurisdiction. Experience: - Minimum 5 years of relevant experience in the securities market or financial products in roles such as Portfolio Manager, Broker-Dealer, Investment Advisor, Wealth Manager, Research Analyst, or Fund Management. - In-depth knowledge of IFSCA regulations and operational frameworks of International Financial Services Centers (IFSCs). - Proven expertise in compliance, risk management, and investment strategy execution. - Experience in international fund management or cross-border investments is highly desirable. - Demonstrated ability to lead teams and manage complex operational and regulatory challenges. Additional Requirements: - Willingness to relocate to GIFT City, Gujarat, if not already based there. - Availability to travel domestically and internationally as required for business purposes.,

As a senior Finance and Accounts Head at TradeAir (IFSC), your role will involve the following responsibilities: - Acting as the single point of contact (SPOC) for fund administrators and overseeing activities such as reconciliation, reporting, and the ongoing transition project between fund administrators. - Taking charge of accounting duties across various business verticals like FME and Broker-Dealer, with a focus on creating synergies, operationalizing back-office systems, and ensuring accurate portfolio reporting through cash, position, and market value reconciliations. - Collaborating with internal teams and external partners to enhance processes, develop new financial products and services, and provide comprehensive support during audits including financial statement preparation and audit query resolution. - Compiling and presenting Management Information System (MIS) reports for strategic decision-making, ensuring compliance with regulatory requirements like TDS, GST, SEZ, and IFSC, and timely filing of TDS and GST returns. - Preparing financial statements in accordance with financial reporting standards (e.g., Ind AS, IFRS, or US GAAP) and leading a team of two to three associate/junior accountants. Qualifications and Requirements: - Inter CA, Semi-Qualified CA, Post-graduate in commerce, or MBA in Finance. - At least 2 years of experience as a Finance or Accounts executive in a financial services firm, preferably in a broker or asset management company. - Strong grasp of accounting principles, financial reporting, and knowledge of markets and derivatives would be advantageous. - Familiarity with TDS, GST, IFSC, and SEZ compliance requirements, along with the ability to proactively seek information and ask pertinent questions.,

Role Overview: As a Fixed Income Investment Dealer at Kshema General Insurance Limited, you will be responsible for executing trades and managing fixed income investments in alignment with the guidelines set by the Insurance Regulatory and Development Authority of India (IRDAI). Your role will be crucial in ensuring compliance with regulatory requirements and making informed investment decisions to support the company's investment strategies. Key Responsibilities: - Execute fixed income trades following IRDAI guidelines, internal policies, and regulatory requirements. - Monitor and analyze fixed income markets, interest rate movements, and economic indicators to identify trading opportunities. - Maintain relationships with brokers, dealers, and other counterparties for access to a wide range of fixed income securities. - Collaborate with fund managers, research analysts, and other teams to align trading activities with fund strategies. - Ensure accurate and timely execution of trades, including negotiation of terms, pricing, and settlement. - Stay updated with IRDAI guidelines and regulatory changes related to fixed income investments for full compliance. - Contribute to the development and enhancement of trading systems, processes, and risk management frameworks. Qualifications Required: - Bachelor's degree in finance, economics, or a related field. Postgraduate degree such as an MBA, CFA, or CA is a plus. - Minimum 7 years of relevant work experience in fixed income investments. - In-depth knowledge of fixed income markets, bond instruments, interest rate dynamics, and trading strategies. - Strong understanding of IRDAI guidelines and regulations related to fixed income investments. - Proven experience in executing fixed income trades, managing trade settlements, and post-trade operations. - Familiarity with trading platforms, order management systems, and electronic trading tools. - Proficiency in analyzing market data, financial software, and MS Office applications. - Strong analytical skills, communication, and negotiation abilities. - Ability to work under tight trading deadlines. If you meet the qualifications and have a passion for executing fixed income trades while ensuring compliance with IRDAI regulations, we encourage you to apply for this exciting opportunity at Kshema General Insurance Limited.,

As a Manager in the Risk Consulting Financial Services Risk Management (FSRM) Liquidity and Treasury Services team at EY, you will be part of EY's Financial Services Office (FSO), providing integrated consulting services to financial institutions and other capital markets participants. You will work with a diverse range of clients, including commercial banks, investment banks, broker-dealers, asset managers, insurance companies, and energy trading companies, as well as leading Fortune 500 Companies" Corporate Treasury functions. Key Responsibilities: - Conduct gap assessments, impact analysis, and business readiness assessments for regulatory change management - Demonstrate deep technical capabilities and industry knowledge of financial products - Lead components of large-scale client engagements and review work products to ensure high quality deliverables - Stay updated on market trends in the financial services sector and communicate effectively with key stakeholders - Play an active role in mentoring junior consultants within the organization Qualifications, Certifications, and Education: Must-have: - Masters degree in business administration (finance, economics) with 8-12 years of relevant work experience - Experience in regulatory reporting in Banks (FR 2052a/LCR/NSFR/PRA 110/AMM) - Financial product knowledge and familiarity with liquidity concepts including stress testing metrics such as ILST and the ILAAP framework - Experience in working in Treasury & ALM department in Banks - Strong problem-solving and solution development skills - Professional English language written and verbal skills Good-to-have: - Certifications such as FRM, CFA - Risk management system knowledge/experience - Previous project management experience - Ability to query and visualize large data using tools like Tableau, Qlik, Looker - Testing capabilities (UAT plan, UAT strategy, UAT review and sign off, etc) At EY, we are building a better working world by leveraging data, AI, and advanced technology to help clients shape the future with confidence. Our teams across assurance, consulting, tax, strategy, and transactions services work globally to provide innovative solutions and create new value for clients, society, and the planet. Join us and be a part of this transformative journey.,

You will be joining FIS, a leading fintech company that plays a significant role in nearly every market worldwide. The inclusive and diverse teams at FIS work collaboratively to advance the world of fintech. As part of the Loan Syndication and Operations team at FIS, your responsibilities will include: - Having a strong operational knowledge of the CDO/CLO market and its reporting requirements. - Operating in a deadline-driven environment that emphasizes service quality. - Working closely with account managers and relationship managers to provide top-notch services and swift problem resolutions. You will be part of a team that combines market-leading growth solutions and premier operational services catering primarily to the investment bank and broker-dealer community. Your role will involve handling loan syndication, capital market, private debt, and middle-market solutions, processing over a billion transactions on any given product. The team generates an annual revenue of $1.1 billion and serves 68 of FIS's top 125 clients. Your day-to-day tasks will include: - Acting as a Subject Matter Expert in compliance reporting. - Liaising with clients and internal teams to research and resolve issues. - Developing and maintaining standard operating procedures. - Tracking process metrics. - Providing guidance and training to junior team members. - Ensuring all activities have adequate control points to mitigate escalations. To excel in this role, you will need: - A Bachelor's degree or equivalent education and work experience. - 7-10 years of relevant industry experience. - A deep understanding of CLO compliance structure. - Proficiency in various financial processes. - Excellent communication skills. - The ability to interact effectively with clients and global counterparts. - Proficiency in Microsoft Excel, including VBA Macro. - Flexibility to support business in extended hours. At FIS, you will have the opportunity to learn, grow, and make a significant impact on your career. The company offers extensive health benefits, best-in-class career mobility options, award-winning learning offerings, an adaptable home-office work model, and the chance to collaborate with global teams and clients. FIS is committed to protecting the privacy and security of personal information processed in providing services to clients. Recruitment at FIS primarily operates on a direct sourcing model. FIS does not accept resumes from recruitment agencies not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings.,