18 Finra Jobs

As a Settlement Manager at UBS in Pune, India, your primary responsibilities will include: - Supervising a team of 10-15 staff members in the Pune office - Managing UBS FSI's Securities Settlements processes and controls - Demonstrating knowledge and compliance with Regulatory rules such as 15c3-3 Possession or Control, Reg SHO, MSRB rules, etc. - Collaborating across UBS Divisions and with key vendors to implement mandatory industry-driven changes and strategic initiatives Your expertise should include: - 7-8 years of industry experience - Knowledge of DTC, FED, and International Market Settlements - Experience in Fails Management and Asset Control - Familiarity with FINRA and MSRB rules re...

Ready to shape the future of work At Genpact, we don't just adapt to change-we drive it. AI and digital innovation are redefining industries, and we're leading the charge. Genpact's AI Gigafactory, our industry-first accelerator, is an example of how we're scaling advanced technology solutions to help global enterprises work smarter, grow faster, and transform at scale. From large-scale models to agentic AI, our breakthrough solutions tackle companies most complex challenges. If you thrive in a fast-moving, tech-driven environment, love solving real-world problems, and want to be part of a team that's shaping the future, this is your moment. Genpact (NYSE: G) is an advanced technology servic...

Ready to shape the future of work At Genpact, we don't just adapt to change-we drive it. AI and digital innovation are redefining industries, and we're leading the charge. Genpact's AI Gigafactory, our industry-first accelerator, is an example of how we're scaling advanced technology solutions to help global enterprises work smarter, grow faster, and transform at scale. From large-scale models to agentic AI, our breakthrough solutions tackle companies most complex challenges. If you thrive in a fast-moving, tech-driven environment, love solving real-world problems, and want to be part of a team that's shaping the future, this is your moment. Genpact (NYSE: G) is an advanced technology servic...

Location - Hyderabad Work Model - Work From Office Shift - US Shift Level - SME Notice Period - Immediate/30 Days/45 Days Job Title: Regulatory Compliance Analyst Location : Hyderabad, Hybrid Model Reporting To : Operations Leader / Compliance Lead Employment Type : Full-time Role Summary: The Regulatory Compliance Analyst will be responsible for supporting Clients compliance obligations across various regulatory domains including SEC, FINRA, AML/OFAC, and annuity-related regulations. This role ensures timely and accurate reporting, supports audits and exams, and contributes to maintaining a compliant and risk-aware operational environment. Key Responsibilities: Regulatory Oversight & Report...

You will be joining Genpact, a global professional services and solutions firm with a workforce of over 125,000 professionals in more than 30 countries. Driven by curiosity, agility, and the goal of creating value for clients, we aim to improve the world for people through our services to leading enterprises, including Fortune Global 500 companies. We specialize in deep business knowledge, digital operations services, and expertise in data, technology, and AI. We are looking for a Process Developer in Financial Crime Anti Money Laundering for a global investment bank. Your responsibilities will include conducting AML and KYC checks, assessing alerts, investigations, and reviews as per policy...

Senior Associate, Compliance & Control - Trade Surveillance - Pune At BNY, our culture allows us to run our company better and enables employees growth and success.As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance -...

Ready to shape the future of work At Genpact, we don&rsquot just adapt to change&mdashwe drive it. AI and digital innovation are redefining industries, and we&rsquore leading the charge. Genpact&rsquos AI Gigafactory, our industry-first accelerator, is an example of how we&rsquore scaling advanced technology solutions to help global enterprises work smarter, grow faster, and transform at scale. From large-scale models to agentic AI, our breakthrough solutions tackle companies most complex challenges. If you thrive in a fast-moving, tech-driven environment, love solving real-world problems, and want to be part of a team that&rsquos shaping the future, this is your moment. Genpact (NYSE: G) is...

Ready to shape the future of work At Genpact, we don&rsquot just adapt to change&mdashwe drive it. AI and digital innovation are redefining industries, and we&rsquore leading the charge. Genpact&rsquos AI Gigafactory, our industry-first accelerator, is an example of how we&rsquore scaling advanced technology solutions to help global enterprises work smarter, grow faster, and transform at scale. From large-scale models to agentic AI, our breakthrough solutions tackle companies most complex challenges. If you thrive in a fast-moving, tech-driven environment, love solving real-world problems, and want to be part of a team that&rsquos shaping the future, this is your moment. Genpact (NYSE: G) is...

Job Description Senior Associate, Compliance & Control Trade Surveillance Pune At BNY, our culture allows us to run our company better and enables employees growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the worlds investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future ...

Job Location is Noida Shift time: 02:00 AM to 12 PM. (Au/AZ shift) 5 Days work from Office only. Must have Corporate KYC and minimum 120+ members team handling experiences. 15-18+ Yrs 30-36 LPA Karishma.imaginators@gmail.com Required Candidate profile Excellent Communication Skills - Required Experience leading and managing large teams involved in on-boarding of clients according to relevant AML/KYC legislations across NA, EU & APAC jurisdictions

As a Senior Associate in Compliance & Control Trade Surveillance at BNY, you will play a key role in ensuring global compliance with relevant laws, rules, and regulations by analyzing surveillance alerts, providing oversight, and conducting daily analysis through trade surveillance systems. You will assist in monitoring established controls, implementing new procedures in response to regulatory changes, and identifying and escalating potential concerns related to regulatory rules such as MAR, MIFID 2, and firmwide policies. Your responsibilities will include suggesting improvements to work processes, counseling employees and business personnel on compliance, guiding lower-level peers, resear...

As a Database Administrator at our organization, your primary responsibility will be to create and manage multiple databases, ensuring optimal performance and capacity planning. You will be tasked with monitoring and tuning database performance using tools such as Query Store, DMVs, and SQL Profiler. It will be crucial for you to maintain data integrity and security by managing roles and permissions of database users. Additionally, you will utilize SQL Profiler for database tuning, generating traces, execution plans, identifying performance bottlenecks, deadlocks/contention, and resolving them. You will also play a key role in developing strategies and implementing solutions for managing bac...

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, a...

Dear Candidate, Company Description iEnergizer is a leading Business Process Outsourcing provider offering customer management solutions. We specialize in helping partners acquire, support, retain, and grow their markets through comprehensive life-cycle customer support services. Our client base includes Fortune 500 companies across various industry verticals, including Healthcare, Banking, Financial Services, Insurance, and more. iEnergizer is known for delivering high-quality service while reducing operating costs, fostering an innovative and customer-centric atmosphere. CONTACT: HR Sharandeep at 9266364422 Role Description This is a full-time, on-site role located in Delhi, India, for a F...

Dear Candidate, Company Description iEnergizer is a leading Business Process Outsourcing provider offering customer management solutions. We specialize in helping partners acquire, support, retain, and grow their markets through comprehensive life-cycle customer support services. Our client base includes Fortune 500 companies across various industry verticals, including Healthcare, Banking, Financial Services, Insurance, and more. iEnergizer is known for delivering high-quality service while reducing operating costs, fostering an innovative and customer-centric atmosphere. CONTACT: HR Sharandeep at 9266364422 Role Description This is a full-time, on-site role located in Delhi, India, for a F...

The Cryptocurrency Transaction Monitoring Analyst is responsible for ensuring the quality and integrity of cryptocurrency transactions by conducting thorough monitoring and analysis. This role focuses on quality assurance and compliance, ensuring that all transactions adhere to regulatory standards and meet the client's quality expectations. The Analyst will be instrumental in identifying potential risks, investigating anomalies, and ensuring adherence to established procedures. Key Responsibilities: • Transaction Monitoring: Continuously monitor cryptocurrency transactions to detect suspicious activities, potential fraud, and other compliance issues. • Quality Assurance: Ensure the accuracy...

Relevant experience as a AML investigator in a transaction monitoring and SAR writing capacity or equivalent experience or education Working knowledge of Transaction Monitoring systems (e.g. Actimize, Mantas) for Correspondent Banking clients Ability to identify, escalate and communicate issues to management in an effective and succinct manner. Effective decision-making skills and strong problem-solving skills Strong knowledge of AML laws (USA PATRIOT Act), regulations (Fed, SEC, FINRA) and their application to the supported products/business lines Working knowledge of MS Excel, including pivot tables, macros, filtering, and sorting. Applied experience of effective internet search techniques...

Role & responsibilities: Outline the day-to-day responsibilities for this role. Preferred candidate profile: Specify required role expertise, previous job experience, or relevant certifications.