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Compliance Analyst-Compliance Ops (India)

Compliance Analyst-Compliance Ops (India)

elevate

2 - 3 years

8 - 9 Lacs

gurugram

Posted:1 week ago| Platform:

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Skills Required

sec due diligence compliance litigation social media legal genetics professional services financial services compliance analyst

Work Mode

Work from Office

Job Type

Full Time

Job Description

Elevate is recruiting a

Compliance Analyst

in our

Compliance -OPS

team. This person will demonstrate a fundamental knowledge of regulatory requirements in the financial services industry. Also interpret and apply regulatory provisions to the given situation.

Specifically, the Compliance Analyst will

Be responsible for review of all Marketing material/investor communication material shared by the customer, adhering to regulatory requirements including Advertisement Rules of the U.S. SEC, FINRA and internal guidelines of the firm.
Provide necessary markups, comments, and suggestions to content and required disclosures of each material, in reference to regulatory and firm standards.
Keep track of and provide regular updates about regulatory changes and the applicability/ impact assessment for the given situation.
Develop and share creative review strategies to improve output and accuracy and focus on areas of greatest risk.
Develop and review process documentation.
Identify any areas requiring clarification or refresher training and identify controls that need to be put in place.
Participate in preparing Periodic Governance Reports with the customer.
Review and revise report timely and accurately before they are sent out to the customer.
Attend weekly client calls to raise clarifications/updates regarding policies and review process.

Skills for Success

Have strong investigation skills.
Possess strong problem-solving skills.
Have experience working with legal reviews/due diligence programs.
Experience creating technical compliance workflows and detailed playbooks.
Able to assist in developing and implementing processes to mitigate risks.
Knowledge of FCPA, FINRA regulations, and SEC compliance policies.

Experience

2-3 or more years of relevant experience.
Knowledge of FCPA, FINRA regulations, and SEC compliance policies.
Experience creating technical compliance workflows and detailed playbooks.

Qualifications

Bachelor's Degree required.
Exposure/Specialization in Finance as well as Legal domain.
Financial or Compliance qualifications preferred - Registered Representative, Series 24, 7, or 63, ICA Compliance Diplomas.

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