Advisor - Compliance

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.,