Advisor - Compliance (E-Communications & Surveillance)

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.,