2 Compliance Experience Jobs

Job Description: FC Global Services India LLP (First Citizens India), a part of First Citizens BancShares, Inc., a top 20 U.S. financial institution, is a global capability center (GCC) based in Bengaluru. Our India-based teams benefit from the company's over 125-year legacy of strength and stability. First Citizens India is responsible for delivering value and managing risks for our lines of business. We are particularly proud of our strong, relationship-driven culture and our long-term approach, which are deeply ingrained in our talented workforce. This is evident across all key areas of our operations, including Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. We are seeking talented individuals to join us in our mission of providing solutions fit for our clients" greatest ambitions. Value Preposition: Contribute to creating a culture of compliance where ethics and integrity are a critical part of what we do every day. Job Details: Position Title: Senior Manager - Compliance Career Level: L2 Job Category: Assistant Vice President Role Type: Hybrid Job Location: Bangalore About The Team: Corporate Compliance's primary role is to identify, measure, monitor, and control applicable regulatory compliance risks across all business units and enterprise-wide functions. Impact: We are seeking a detail-oriented, highly motivated manager to review electronic communications identified via First Citizens electronic communication surveillance platform flagged for review based on regulatory regulations and company policy as well as random sampling reviews. The surveillance focuses on ensuring that electronic communications across our broker-dealer, investment adviser, and asset management functions comply with regulatory requirements and company policies. The position will execute day-to-day surveillance, including review of all electronic communication types, by reviewing records of electronic communications flagged for potential violations and/or suspicious activity, communicating feedback and findings to Compliance, and identifying potential enhancements for surveillance lexicons. The ideal candidate will have expertise in monitoring electronic communications for potential regulatory violations, applying policies and procedures effectively, escalating issues appropriately, and identifying enhancements to further improve the e-surveillance program. Successful candidate will also assist with drafting and maintaining procedures, providing reporting on review rate for team and volume/backlog, coaching and upskill training for reviewers, providing QA for electronic communication reviews and analyzing lexicons for refinement. Key Deliverables: - Can execute all tasks associated with the reviewer role and execute the additional responsibilities listed below. - Provide guidance and oversight for reviewers by addressing inquiries, providing coaching and feedback, and problem solving as issues arise. - Conduct QA activities for communications that have been reviewed and communications that have been escalated ensuring accuracy and correct disposition. - Support the onboarding of new reviewers including identifying associates skilled to work, systems access, training, enhanced supervision of work product, and liaising with Compliance and Technology through onboarding completion. - Provide backup support for reviewers during seasons of higher review volume, point in time needs or projects, and/or when a backfill is required. - Timely review and update of procedures, tracking documents, and various other documentation. Skills And Qualification: Functional Skills: - Strong organization skills, attention to detail, and communication skills for collaboration, reporting, and documentation of findings. - Ability to work independently or with a team, meet deadlines, and pivot as priorities shift. - Ability to identify and provide feedback regarding process improvements and potential risks. - Knowledge of regulatory changes, enforcement actions, and regulatory landscape as it pertains to e-surveillance. - Microsoft Office proficiency. Technical/Business Skills: - Previous Compliance experience, preferably within a broker-dealer, investment adviser, or asset management firm. Experience in e-Surveillance preferred. - Comprehensive knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting. - Ability to make independent judgment and use informed discretion when dispositioning communications as an issue or non-issue. - Proficiency with Global Relay surveillance platform is a plus. Leadership Qualities: - Strong leadership skills including coaching and guiding team, providing performance feedback, leading team through periods of change and transition, and ability to build strong relationships within the team. - Ability to work independently with minimal oversight, execute against priorities in a timely manner, and adapt to priority shifts. Relationships & Collaboration: - Ability to build and maintain strong working relationships with business partners through strong communication and a proactive approach to problem solving and identifying risks. Accessibility Needs: We are committed to providing an inclusive and accessible hiring process. If you require accommodations at any stage (e.g. application, interviews, onboarding) please let us know, and we will work with you to ensure a seamless experience. Equal Employment Opportunity,

As an Enhanced Due Diligence (EDD) Analyst at Interactive Brokers Group, Inc., you will play a crucial role in ensuring the firm's compliance with applicable AML laws and regulations. Reporting to the APAC EDD Manager, your responsibilities will involve conducting ongoing reviews of client profiles and transactions according to IBKR APAC policy and procedures. It will be essential to maintain accurate tracking of assignments and documentation requests to meet deadlines effectively. Additionally, you will have the opportunity to contribute to streamlining processes and identifying areas for improvement, as well as performing negative news and public domain searches on high-risk clients and related parties. The ideal candidate for this role will possess regulatory and compliance experience within an exchange, regulatory organization, Broker Dealer, or a similar entity. However, applicants with a strong academic background in law, accounting, data analytics, or related fields will also be considered. To excel in the Interactive Brokers work environment, candidates must demonstrate focus, adaptability, collaboration, and strong time management skills. Preferred qualifications for this position include a high level of comfort and fluency with computers and technology, along with an understanding of how technology is applied to business and regulatory challenges. Excellent verbal and written communication skills are essential, as well as previous experience in risk assessment, customer due diligence, or similar analytical work. Being detail-oriented with exceptional organizational and analysis skills is highly valued, along with the ability to work independently, in a small-team setting, and multitask with minimal supervision. Professional licenses or certifications are highly preferred for this role. In addition to a competitive salary package, Interactive Brokers offers a performance-based annual bonus in cash and stocks, a hybrid working model with three days in the office per week, group medical and life insurance, modern offices with free amenities and fully stocked cafeterias, a monthly food card, company-paid snacks, hardship/shift allowance with company-provided pickup and drop facility, an attractive employee referral bonus, and frequent company-sponsored team-building events and outings. Please note that the benefits package is subject to change at management's discretion.,