Compliance Analyst

Principal Global Services

3 - 5 years

5 - 6 Lacs

hyderabad

Posted:3 hours ago| Platform:

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Skills Required

investment advisor due diligence bloomberg legal compliance investment compliance macros fraud investigation analytics financial services compliance analyst

Work Mode

Work from Office

Job Type

Full Time

Job Description

In this role you will be working as a member of the Compliance Team and be responsible for the day to day administration of compliance related activities for Principal Financial Group
Activities may involve the compiling and correlating of legal and compliance data, conducting research and analysis, and aiding in the development, implementation and maintenance of policies, procedures and controls, and other firm and investment compliance functions
Support global investment initiatives through participation in projects, process reviews and/or system enhancements
Incumbent should be open to hybrid and remote working models as well as multi work day schedule options
Note: Essential Functions % of Time Spent Monitor compliance activities associated with code of ethics and employee trading policies
Participate in coordination and oversight of Code of Ethics quarterly reporting, monitoring of trade activity, maintenance of on line Code of Ethics reporting system and training
Monitoring electronic communication for regulated users based on defined policy
Conducting audio review of reported calls and review of Advertising and Bloomberg data
Research both regulatory filing information and writing and communicating guidelines to keep other departments aware of requirements
Having technical skills of emerging technologies like MS teams flows, Power Automate, Power BI and excel macros to help automate current processes and help gain process efficiencies
Research both regulatory filing information and writing and communicating guidelines to keep other departments aware of requirements
Conducting Audio review and Marketing review, Crime and Fraud Investigation and managing AML and Risk Compliance
Support Legal and Compliance staff members in the development and maintenance of policies, procedures and controls designed to mitigate Corporate risk
Enhance understanding of PFG stakeholders/clients needs through self-initiated research and involvement in on-going investment activities

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