8 Finra Jobs

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, researching and collecting data on compliance activities, compiling data for senior team members, conducting preliminary analyses, reviewing work accuracy, verifying alignment with control procedures and compliance strategy, and recommending remedial action when issues arise. To excel in this role, you should possess a BA/BS degree in Finance, Economics, or Business, along with a minimum of 3 to 4 years of surveillance or regulatory experience. Knowledge of equity and fixed income cash and derivatives products, market abuse regulations, trading correlations, derivatives usage, hedging, FINRA, SEC, CFTC Dodd Frank, NFA, CME regulations, Treasury Market Best Practices, and trade surveillance monitoring systems is required. Strong communication, analytical, project management, Excel, data analysis, problem-solving, time management, and prioritization skills are essential, along with the ability to handle sensitive information with excellent judgment. BNY's culture is reflected in its numerous accolades, such as being recognized as America's Most Innovative Companies, World's Most Admired Companies, achieving a 100% score in the Corporate Equality Index and Best Places to Work for Disability Inclusion, and being named one of the Most Just Companies and a top-performing company for Sustainability. As an Equal Employment Opportunity/Affirmative Action Employer, BNY values diversity and encourages applications from underrepresented groups. Join us at BNY to be part of a dynamic team shaping the future of global financial services.,

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 backups, restoration, and replication. Creating and managing constraints and indexes, as well as supporting software developers with database operations including the development of complex SQL, tuning of DML, and the creation of stored procedures, will be part of your daily tasks. Proactive housekeeping/archiving and shrinking of databases will also be within your scope of work. In this role, you will manage production, QA, Stage, and development database environments. Creating detailed documentation, including diagrams of database infrastructure, will be essential. It is important for you to learn relevant business processes, understand the data flow, criticality, and dependencies, and effectively coordinate and communicate with all stakeholders, including internal teams and clients. To qualify for this position, you should hold a Bachelor's or Master's degree in computer science or equivalent and have a total of 3-5+ years of experience in MSSQL Database administration using SQL Server 2014/2016/2017/2019/2022 versions. Experience in SQL Server Clustering and HA technologies, SQL Server Integration Services (SSIS), and SQL Server Reporting Services (SSRS) is required. Expertise in cloud platforms such as AWS, Azure, etc., sound knowledge of RDBMS concepts, database architecture, and SQL/T-SQL are essential. You should be proficient with SQL Server Profiler for monitoring and troubleshooting database activity and performance, with the ability to develop procedure documents and maintain detailed database-related documents. An innovative approach to work, constantly seeking to upgrade systems to more efficient technologies, and the ability to organize work efficiently under stress, changing priorities, and time constraints are valuable skills for this role. Additionally, experience with MySQL/PostgreSQL/MongoDB in a Linux environment, including Backup, replication configuration for DR purposes, and familiarity with compliance guidelines like SOC II, FINRA, and best practices like ITIL, Change/Incident Management would be advantageous. Morningstar is an Equal Opportunity employer. Our hybrid work environment offers the opportunity to work remotely and collaborate in-person each week. We believe that we are most effective when we intentionally come together regularly, at least three days each week. We provide a range of benefits to enhance flexibility as needs change, ensuring that no matter where you are, you have the tools and resources to engage meaningfully with your global colleagues.,

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,

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 FINRA 7 Certified professional with at least 2 years of experience. The role involves daily tasks such as advising clients on investment opportunities, monitoring financial markets, ensuring compliance with regulatory standards, and managing client portfolios. The ideal candidate will work closely with clients to understand their financial goals and provide tailored recommendations to achieve them. Qualifications FINRA Series 7 Certification and at least 2 years of relevant experience (For Entry Level) For Manager - Need Team Handling + Series 7 & 24 Proficiency in financial markets, investment advising, and client portfolio management Strong understanding of compliance and regulatory standards Excellent verbal and written communication skills Ability to work independently and in a team environment Bachelor's degree in finance, Economics, Business Administration, or a related field preferred Experience in the financial services industry is a plus. Additional Information Entry Level (Series 7 Certified) - Salary upto 14 LPA. Work from office role.

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 FINRA 7 Certified professional with at least 2 years of experience. The role involves daily tasks such as advising clients on investment opportunities, monitoring financial markets, ensuring compliance with regulatory standards, and managing client portfolios. The ideal candidate will work closely with clients to understand their financial goals and provide tailored recommendations to achieve them. Qualifications FINRA Series 7 Certification and at least 2 years of relevant experience Proficiency in financial markets, investment advising, and client portfolio management Strong understanding of compliance and regulatory standards Excellent verbal and written communication skills Ability to work independently and in a team environment Bachelors degree in Finance, Economics, Business Administration, or a related field preferred Experience in the financial services industry is a plus. Additional Information Series 7 - Salary upto 14 LPA. Work from office role.

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 and completeness of transaction monitoring reports, adhering to both regulatory requirements and client-specific quality standards. • Analysis and Reporting: Analyze transaction patterns and generate detailed reports highlighting findings, anomalies, and trends. Provide actionable insights and recommendations for improvement. • Compliance: Stay up-to-date with relevant regulations, industry standards, and best practices to ensure all monitoring activities are compliant with legal and client requirements. • Investigation: Conduct in-depth investigations into flagged transactions, collaborating with internal teams to resolve issues and mitigate risks. • SAR : Narrative writing with appropriate structure to be followed for SAR filing • Documentation: Maintain comprehensive documentation of monitoring activities, investigations, and compliance measures. • Continuous Improvement: Identify opportunities to enhance monitoring processes and tools to improve efficiency and effectiveness. Should Be Excellent Communication Night Shift Both Side Cab Work From Office Immediate Joiner Gurgaon Location Immediate Joiner Call For More Info 9151206474 Or share your cv at milki.bisht@nlbtech.in

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. Excellent writing and communication skills