40 Broker Dealer Jobs nearby Kolkata

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.,

You will be part of the Financial Institutions and Country Risk Team at Northern Trust, where you will oversee a portfolio of counterparties (hedge funds/banks) and countries. Your responsibilities will include performing financial, economic, and market-based analysis, presenting reviews to credit committees, and providing credit opinions and recommendations. You will manage a multi-billion dollar counterparty and country portfolio, assign Probability of Default ratings, monitor trends, and serve as a subject matter expert to partners. Additionally, you will contribute to risk monitoring products, processes, and models, present to Senior Risk committees, and participate in visits and calls with external counterparties or clients. **Key Responsibilities:** - Manage a portfolio of bank counterparties and countries, with Hedge Fund analysis as an advantage - Perform analysis of entities annually or on an adhoc basis, assign Probability of Default ratings, and size credit facilities appropriately - Monitor counterparties for changes in risk, update management on key issues, and track NAV triggers - Present and participate in risk committees - Manage relationships with counterparties, vendors, and clients - Ensure timely review of the portfolio and maintain high-quality analyses - Work with modelling teams to develop/enhance risk tools and models **Qualifications Required:** - Masters degree and/or CFA designation - 4-8 years of credit experience with banks, broker/dealers - Experience in counterparty and/or country analysis, preferably in a buyside or counterparty risk function - Knowledge of Bank and Broker dealer analysis, Country risk for emerging markets, and strong analytical and communication skills In this role, you will work until at least 10.30pm India time to liaise with the Chicago office and participate in team and committee meetings. Northern Trust partners enjoy a flexible and collaborative work culture, with opportunities for movement within the organization. Senior leaders are accessible, and the company is committed to assisting the communities it serves. To apply and explore how your skills can align with one of the world's most admired companies, submit your application today.,

Job Description: You will be responsible for overseeing the Treasury, Wire Management, KYC & Client Account Management teams catering to different geographies. Your primary role will involve managing these teams, ensuring daily deliverables are met, operationalizing processes, and building relationships with global stakeholders. Key Responsibilities: - Manage the Treasury, Wire Management, KYC & Client Account, Account Management teams - Oversee daily deliverables and enhance processes - Build relationships with global stakeholders and act as an escalation point - Identify process improvements and participate in their implementation - Recommend controls, contribute to KPI/KRI reporting, and maintain oversight Qualifications Required: - More than 10+ years of relevant work experience - Strong team management skills - Prior experience with Alternative Asset, Fixed Income preferred - Experience with data management platforms such as Hazeltree, Everest, Wall Street Office, Geneva, and/or IVP preferred - Intermediate-level technical skills like VBA, SQL, Excel, Power BI, etc. are a bonus - Experience working with financial intermediaries like investment banks, leverage providers, broker/dealers, and Prime Brokers preferred - Familiarity with diverse investment vehicles such as Institutional Separate Accounts, SMA/Limited Partnerships, Open-End Mutual Funds, Closed-End Funds, UCITs, CLOs, and complex fund structures - Strong experience with Bank Account Management, Cash Operations & Wires,

Role Overview: You will be joining Broadridge Financial Solutions, Inc. as an Analyst in the Investment Banking/Equity Operations team. This role offers an exciting opportunity for fresh graduates (MBA/B.Com) who are looking to kickstart their career in financial markets operations, with a focus on Security Master, Equity, and Fixed Income Operations. Your responsibilities will involve monitoring market bulletins, processing security updates, handling corporate actions, resolving client queries, ensuring SLA adherence, and collaborating with internal teams for process improvements and automation initiatives. Key Responsibilities: - Monitor bulletins and notifications from market entities like NYSE, OTCBB, TSX, CDS, FUNDSERV, OCC, etc. - Process new security additions and attribute updates for Equity and Fixed Income instruments. - Handle corporate action-related updates such as name changes, splits, adjustments, and consolidations. - Address and resolve client queries, process requests, and issue escalations effectively. - Ensure daily SLA adherence, quality monitoring, and timely reporting of MIS using tools like Excel. - Collaborate with internal teams to identify process improvements and contribute to automation initiatives. - Participate in process validation, quality reviews, and ensure operational accuracy. Qualification Required: - MBA (Finance)/B.Com Freshers or up to 1 year of relevant internship experience. - Strong interest in Investment Banking/Capital Markets/Equity Operations. - Excellent communication, analytical thinking, and time management skills. - Willingness to work in US business hours and commit long-term (2+ years) for professional growth. - Proficiency in Microsoft Office tools; knowledge of Excel macros or automation is an added advantage. Additional Details of the Company: Broadridge Financial Solutions, Inc. is a global Fintech leader in the financial services industry, with over $6 billion in revenues and clients in 100+ markets. They partner with leading banks, broker-dealers, asset managers, and corporate issuers to strengthen operations, reduce risk, and drive innovation. Joining Broadridge offers global exposure, career growth opportunities, a learning environment with certifications, a culture of innovation, and the stability of being part of a Fortune 500 Fintech leader known for integrity and technology innovation.,

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.,

 generating leads, engaging with potential buyers in person, conducting property viewings, and closing sales deals to achieve revenue targets. This role involves extensive fieldwork and direct client interaction. 

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

You will be part of the Financial institutions and Country Risk Team at Northern Trust, overseeing a portfolio of counterparties and countries. Your responsibilities will include financial, economic, and market-based analysis, preparing and presenting reviews of counterparties and countries, assigning Probability of Default ratings, monitoring trends, managing relationships with local business units, and contributing to the development of risk monitoring products and processes. You will also present to Senior Risk committees, coordinate visits and calls with external counterparties or clients, and work with modelling teams to develop risk tools and models. **Key Responsibilities:** - Manage a portfolio of bank counterparties and countries, with Hedge Fund analysis as an added advantage. - Perform analysis of entities annually or on an adhoc basis, assign Probability of Default ratings, and appropriately sized credit facilities. - Monitor trends and serve as the subject matter expert and trusted advisor on assigned countries. - Manage relationships with local business units and provide guidance for strategy development. - Contribute to the development of risk monitoring products, processes, and models. - Present to Senior Risk committees on a regular basis. - Coordinate, participate, or lead visits and calls with external counterparties or clients. **Qualifications Required:** - Masters degree and/or CFA designation are required. - 3 - 6 years of credit experience with banks, broker/dealers. - Experience in counterparty and/or country analysis, in a buyside or counterparty risk function is preferred. - Knowledge of Bank and Broker dealer analysis, Country risk for emerging markets, and strong relationship and presentation skills. Please note that the role may require working until at least 10.30pm India time to liaise with the Chicago office and participate in team and committee meetings. As a Northern Trust partner, you will be part of a flexible and collaborative work culture in an organization committed to assisting the communities we serve. Join us and build your career with one of the worlds most admired and sustainable companies! Apply today and explore the opportunity to work with us. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We value an inclusive workplace and understand flexibility means different things to different people.,

As an experienced professional in the field of accounting and finance, you will be responsible for conducting audits of financial statements in accordance with US GAAP, specifically focusing on broker-dealers and investment funds. Your role will involve managing a team of accounting experts, independently conducting tax research, and collaborating with colleagues at all levels, including peers, supervisors, and professionals based in the U.S. A crucial aspect of your job will be analyzing the impacts on presentation and disclosure. Key Responsibilities: - Conduct audits of financial statements following US GAAP standards for broker-dealers and funds. - Manage a team of accounting experts effectively. - Conduct tax research independently. - Establish and nurture working relationships with peers, supervisors, and colleagues in the U.S. - Analyze the impact on presentation and disclosure. Qualifications Required: - Minimum of 2 years of experience in US A&A and Accounting. - Qualified Chartered Accountant or other relevant professionals in accounting and tax. - Familiarity with Caseware and Caseview is preferred. - Strong teamwork and leadership skills. - Industry exposure in Financial Services. - Experience in Broker Dealer would be advantageous. - Excellent analytical, organizational, and project management abilities. - Proficiency in Microsoft Office Applications. - Fluency in English (both written and spoken). - Outstanding communication skills. - Ability to meet deadlines and work efficiently on projects with urgency. - Willingness to learn new software. - Quick learner, enthusiastic, with a positive demeanor and a team player. - Availability to work extended hours during busy audit seasons. Additionally, the working hours for this position are from 10:30 AM IST to 7:30 PM IST with flexibility to extend during busy audit seasons. The work model is based on working from the office, and the job location is either Hyderabad or Ahmedabad.,

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.,

Role Overview: As a Clearance & Settlements associate at UBS Financial Services Inc., you will collaborate with associates on the Clearance & Settlements team to address any outstanding escalations and issues. Your primary responsibility will be to perform the day-to-day International Settlement processes on behalf of UBS Financial Services, ensuring all associated controls related to settlement, trade failure, and buy-ins are managed effectively. You will work closely with fellow Operations teams to achieve common goals and provide prompt and accurate responses to systemic requests and inquiries from client branches and broker dealer firms. It will be crucial for you to identify issues and escalate them to the right stakeholders in a timely manner to mitigate financial or firm risk. Additionally, you will participate in team meetings, stay updated on regulatory requirements, and ensure that SOPs are reviewed regularly. Key Responsibilities: - Collaborate with associates on the Clearance & Settlements team to address outstanding escalations and issues - Perform day-to-day International Settlement processes and manage associated controls - Manage risk associated with trade settlements to maintain the firm's reputation and client service - Work with Operations teams to achieve common goals - Provide prompt and accurate responses to systemic requests and inquiries - Identify and escalate issues to the right stakeholders in a timely manner - Participate in team meetings, stay updated on regulatory requirements, and review SOPs regularly Qualifications Required: - 1-5 years of financial services/securities industry experience - Bachelor's degree in finance, Business Administration, or a related field - Ability to multitask and interact with multiple clients and business partners simultaneously - Highly motivated with the ability to learn quickly in a pressured environment - Team player with attention to detail and ability to work under pressure - Proficiency in Microsoft Office Suite, particularly Excel - Strong communication and interpersonal skills About the Company: UBS Financial Services Inc. is a leading firm in the financial services industry, dedicated to providing exceptional wealth management service and innovative solutions to clients. UBS is the world's largest and the only truly global wealth manager, operating through four business divisions in more than 50 countries. The company is committed to diversity and inclusion and empowers individuals with diverse backgrounds, skills, and experiences within its workforce.,

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.,

Your role: You will cover Financial Institutions, including global Banks, Insurance companies, Broker Dealers, Sovereign and similar entities. Your responsibilities will include: - Evaluating counterparty credit risk based on analysis of both quantitative and qualitative factors, including fundamental credit analysis, to recommend internal ratings, LGD, and credit limits. - Preparing written counterparty annual reviews/transactional credit proposals drawing conclusions relating to credit assessment, risk appetite, exposure drivers, and business prospects. - Understanding counterparty credit exposure associated with OTC derivatives (FX, Fixed Income, Equities), securities financing, exchange traded derivatives, banking products, and structured transactions. - Performing ad hoc credit risk analysis and participating in portfolio reviews to identify risk developments or concentrations. Your team: You will be working in the Financial Institutions Credit Risk team aligned with the Investment Bank. The credit portfolio includes banks, brokers, fund managers, insurance companies, among others. You will serve as a Credit Analyst with a focus on preparing periodic credit reviews for financial institutions counterparties. Your expertise: To excel in this role, you should have: - A bachelor's degree or international equivalent, preferably in accounting, finance, economics, or mathematics. - 2-5 years of experience and demonstrated expertise in a similar analytical position. - Working knowledge of financial institutions and related products. - Quantitative risk analysis skills employed in a credit risk, market risk, or trading environment. - Interest in analyzing financial institutions, including Banks, Brokers, Insurance, and Sovereign counterparties and building up knowledge in financial markets, trading products incl. related documentation. - Good communication skills, with the ability to actively engage with credit officers in the hub location and other internal stakeholders. - Ability to foster cooperation, influence stakeholders, and encourage teamwork across global business divisions. - Fluency in English (fluent verbal and strong English writing skills). About Us: UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries. Join us: At UBS, we know that it's our people, with their diverse skills, experiences, and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow, and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves. Disclaimer / Policy Statements: UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills, and experiences within our workforce.,

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),