Advisor - Compliance (E-Communications & Surveillance)

Role Overview: You will be part of the Corporate Compliance team at FC Global Services India LLP, where you will contribute to creating a culture of compliance by reviewing electronic communications to ensure regulatory compliance and company policy adherence. Key Responsibilities: - Review electronic communications across multiple channels to identify potential violations of FINRA and SEC regulations. - Investigate flagged communications promptly and escalate potential violations as per established protocols. - Collaborate with team members to address identified issues and support in resolving escalated matters. - Stay updated on FINRA and SEC regulatory requirements and company policies related to communications monitoring. - Document findings accurately and comprehensively, and communicate them clearly to internal stakeholders. - Support audits and regulatory inquiries by providing necessary documentation and insights. Qualifications Required: - Strong organization skills, attention to detail, and effective communication skills. - Ability to work independently or in a team, meet deadlines, and adapt to changing priorities. - Previous Compliance experience, particularly in a broker-dealer, investment adviser, or asset management firm, with a preference for e-Surveillance experience. - In-depth knowledge of FINRA and SEC regulations pertaining to communications with the public, marketing, advertising, and complaints reporting. - Proficiency in using problem-solving skills to analyze electronic communications and differentiate between issues and non-issues. - Familiarity with the Global Relay surveillance platform is a plus. - Proficiency in Microsoft Office applications. Company Details: FC Global Services India LLP, a part of First Citizens India, is a global capability center based in Bengaluru, dedicated to delivering value and managing risks for various lines of business. The company's strong relationship-driven culture and long-term approach are deeply ingrained in its talented workforce, spanning across Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. If you require any accommodations during the hiring process, please inform us to ensure a seamless experience. FC Global Services India LLP is an equal opportunity employer.,