30 Sec Regulations Jobs

In this role as an Advisor - Compliance at FC Global Services India LLP, your main responsibility will be to review electronic communications to ensure compliance with regulatory requirements and company policies. You will be expected to investigate and review flagged communications, escalate potential violations promptly, collaborate with team members, maintain up-to-date knowledge of regulatory requirements, and provide clear communication of findings and recommendations to internal stakeholders. Your attention to detail, strong organizational skills, and ability to work independently or with a team will be crucial in this role. Key Responsibilities: - Review electronic communications in v...

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 Adminis...

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 Adminis...

About ACA: ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. Overview Of Position The Accounting Specialist will assist the FINOP Consulting Department with the preparation of SEC/FINRA financial statements in accordance with FINRA/SEC Regulations and General Accepted Accounting Principles (GAAP) for Broker/Dealer and Investment Advis...

Get to know Okta Okta is The World's Identity Company. We free everyone to safely use any technology, anywhere, on any device or app. Our flexible and neutral products, Okta Platform and Auth0 Platform, provide secure access, authentication, and automation, placing identity at the core of business security and growth. At Okta, we celebrate a variety of perspectives and experiences. We are not looking for someone who checks every single box - we're looking for lifelong learners and people who can make us better with their unique experiences. Join our team! We're building a world where Identity belongs to you. Senior Revenue Accountant We are in search of a top-tier Senior Revenue Accountant w...

Role Overview: KKR is looking for a resource to support the growing KKR Public Vehicle and Registered Investment Company platform. As part of the Legal & Compliance team, you will be responsible for assisting with the compliance and regulatory program aspects of the 40 Act Program under KKR Public and Private Markets. The role is based in Gurugram and involves working with registered investment companies, business development companies (BDCs), and other public investment vehicles managed by KKR & Co. Inc., KKR Credit Advisors (US) LLC, KKR Registered Advisor LLC and FS/KKR Advisor, LLC. Key Responsibilities: - Support KKR Public and Private Markets SEC exemptive relief program, including own...

Role Overview: You will be joining FC Global Services India LLP in the position of Senior Manager - Compliance, reporting at the L2 career level as an Assistant Vice President. This role is of a hybrid nature and will be based in Bangalore. You will be a part of the Corporate Compliance team that focuses on identifying, measuring, monitoring, and controlling regulatory compliance risks across all business units and enterprise-wide functions. Key Responsibility: As a Senior Manager - Compliance, your primary responsibility will be to review electronic communications flagged for review based on regulatory regulations and company policies. You will be conducting surveillance to ensure that elec...

The Financial Reporting responsibilities will include, but not be limited to preparation of all SEC filings on Form 8-K, 10-Q and 10-K, proxy statement, Section 16 filings, XBRL compliance, and any other filings as deemed necessary. In addition, this position will be involved in reviewing, assessing, and documenting new accounting standards; writing technical accounting memos; assisting in implementation of new accounting standards, including providing requests to auditors as requested. This position will also assist with any accounting and financial reporting matters associated with future acquisitions or divestitures, including the necessary purchase accounting. The position will provide a...

Role Overview: You will be joining Corporate Compliance team as a Senior Manager - Compliance at FC Global Services India LLP (First Citizens India), a part of First Citizens BancShares, Inc., a top 20 U.S. financial institution. Your primary responsibility will include reviewing electronic communications to ensure compliance with regulatory requirements and company policies. Key Responsibilities: - Execute day-to-day surveillance of electronic communications flagged for potential violations and/or suspicious activity - Review various electronic communication types and provide feedback and findings to Compliance - Identify potential enhancements for surveillance lexicons - Provide guidance a...

Role Overview: You will be responsible for overseeing real-time liquidity and cash flow management, optimizing fund allocation and capital utilization. Your role will involve ensuring compliance with SEC, FINRA, and global BPO financial regulations to mitigate financial and operational risks. Additionally, you will supervise treasury operations related to outsourced financial services, ensuring SLA-driven financial workflows. In this role, you will support investment planning, risk assessment, and financial decision-making in a fast-paced Fintech-BPO environment. You will collaborate with finance, compliance, and operations teams to align treasury strategies with business goals, contributing...

Role Overview: You will be part of the Corporate Compliance team at FC Global Services India LLP, where you will contribute to creating a culture of compliance by reviewing electronic communications to ensure regulatory compliance and company policy adherence. Key Responsibilities: - Review electronic communications across multiple channels to identify potential violations of FINRA and SEC regulations. - Investigate flagged communications promptly and escalate potential violations as per established protocols. - Collaborate with team members to address identified issues and support in resolving escalated matters. - Stay updated on FINRA and SEC regulatory requirements and company policies re...

Business Analyst - US Treasury Settlements We are looking for a talented and experienced business analyst with sound knowledge and experience in US Treasury Settlements for one of our global Investment Banking Clients. Key Responsibilities: Identifying and analyzing business requirements, problems, and opportunities related to mandatory settlement. Developing and documenting business and functional requirements for new processes and systems. Collaborating with various stakeholders, including front office, operations, risk, finance, legal, and compliance. Analyzing current and future state business processes, identifying gaps, and designing solutions. Creating detailed requirements specificat...

Business Analyst - US Treasury Settlements We are looking for a talented and experienced business analyst with sound knowledge and experience in US Treasury Settlements for one of our global Investment Banking Clients. Key Responsibilities: Identifying and analyzing business requirements, problems, and opportunities related to mandatory settlement. Developing and documenting business and functional requirements for new processes and systems. Collaborating with various stakeholders, including front office, operations, risk, finance, legal, and compliance. Analyzing current and future state business processes, identifying gaps, and designing solutions. Creating detailed requirements specificat...

Business Analyst - US Treasury Settlements We are looking for a talented and experienced business analyst with sound knowledge and experience in US Treasury Settlements for one of our global Investment Banking Clients. Key Responsibilities: Identifying and analyzing business requirements, problems, and opportunities related to mandatory settlement. Developing and documenting business and functional requirements for new processes and systems. Collaborating with various stakeholders, including front office, operations, risk, finance, legal, and compliance. Analyzing current and future state business processes, identifying gaps, and designing solutions. Creating detailed requirements specificat...

As a Pune, India based Regulatory Reporting Analyst at our leading global investment management firm, you will be an integral part of the Global Fund Administration department in Global Technology & Operations. Our department is responsible for overseeing approximately 600 pooled vehicles across various global locations, ensuring accurate Net Asset Value calculations, and meeting regulatory and client reporting requirements on a product-specific basis. Your role will require a proficient understanding of mutual fund accounting, SEC regulations, financial reporting, and spreadsheet utilization. Excellent analytical, communication, organizational, and problem-solving skills are essential for s...

Hi, We are looking to hire a Vice President-Finance and Accounts. Experience : 19+ years Location : Pune Work Mode : Work from Office Role Purpose The Vice President is a core member of the executive leadership team, responsible for overseeing the organizations financial health, risk management, and capital strategy. The VP will drive strategic financial planning, ensure operational efficiency, maintain regulatory compliance, and act as a key advisor to the CEO, board, and shareholders. This role requires both a visionary approach to growth and a meticulous eye for operational detail. Key Responsibilities Strategic Financial Leadership: Develop and execute long-term financial strategies alig...

As an Assistant in the SEC Reporting team based in Bangalore, you will play a crucial role in ensuring compliance with U.S. GAAP and SEC regulations. You will collaborate with senior management, external auditors, and consultants to address accounting and financial reporting matters. Your responsibilities will include assisting in the development of financial reporting calendars and project plans, as well as communicating key dates effectively. You will be involved in the Company's external financial reporting process, assisting in the preparation of quarterly and annual reports such as Form 10-Q and Form 10-K. Additionally, you will help develop standard report templates for disclosure info...

You will be responsible for providing L1, L2, and L3 support as a support specialist. Your key responsibilities will include the configuration of Windows and Mac based computers, monitoring system issues through the RMM platform, managing and maintaining Active Directory, patching servers and critical systems during maintenance windows, identifying and resolving security and performance issues through system reviews, auditing systems for compliance with HIPAA and SEC regulations, creating scripting solutions for task automation, handling change requests for services and systems, optimizing network deployments, configuring and monitoring network firewall assets, maintaining Windows Server inf...

You will be joining a leading global investment firm, KKR, which specializes in alternative asset management, capital markets, and insurance solutions. At KKR, the focus is on generating attractive investment returns through a patient and disciplined approach, employing top-tier professionals, and fostering growth within portfolio companies and communities. The firm sponsors investment funds in private equity, credit, and real assets, along with strategic partnerships managing hedge funds. Moreover, KKR's insurance subsidiaries offer retirement, life, and reinsurance products under the management of Global Atlantic Financial Group. Your role will be within KKR's Gurugram office, where you wi...

Role: AFO Associate Location: Gurugram, HR Essential: Work on drafting memos and preparing workbooks for merger and acquisition accounting (ASC 805). Work on drafting financial statements as per SEC regulations for IPO and other filings. Perform audit readiness support for complex accounting matters and provide services to U.S. based public clients. Working on Financial Statements disclosure checklists, SEC disclosure checklists for registration statements, drafts of sections of various SEC filings (e.g., MDA draft, etc) Candidate should have prior experience working in a capability centre delivery model for US clients. Experience across below points: Chartered Accountant/CPA with minimum of...

The Financial Reporting responsibilities will include, but not be limited to preparation of all SEC filings on Form 8-K, 10-Q and 10-K, proxy statement, Section 16 filings, XBRL compliance, and any other filings as deemed necessary. In addition, this position will be involved in reviewing, assessing, and documenting new accounting standards; writing technical accounting memos; assisting in implementation of new accounting standards, including providing requests to auditors as requested. This position will also assist with any accounting and financial reporting matters associated with future acquisitions or divestitures, including the necessary purchase accounting. The position will provide a...

About ACA: ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. Overview Of Position The Accounting Specialist will assist the FINOP Consulting Department with the preparation of SEC/FINRA financial statements in accordance with FINRA/SEC Regulations and General Accepted Accounting Principles (GAAP) for Broker/Dealer and Investment Advis...

As a Senior Accountant at Okta, you will play a crucial role in supporting the month-end close process, ensuring SOX compliance, and contributing to the quarterly/annual audit process. You will be responsible for executing various tasks such as preparing and reviewing journal entries, balance sheet reconciliations, and financial reporting schedules. Your attention to detail and solid understanding of US GAAP, SEC regulations, and internal controls will be essential in this role. Collaborating with the GL Accounting Manager, you will evaluate process and system infrastructure to identify opportunities for process improvements. Your ability to maintain and enhance internal controls over accoun...

We are seeking a detail-oriented and strategic Product Owner with strong experience in the financial and accounting domain to guide the development and delivery of products tailored to the US financial and accounting market. The ideal candidate will act as a bridge between business stakeholders and development teams, driving product vision, managing the backlog, and ensuring alignment with regulatory standards and market needs and leverage Agile methodologies to deliver. Key Responsibilities: Define and communicate product vision and roadmap aligned with US financial and accounting regulations and market requirements. Gather, analyze, and prioritize requirements from stakeholders including f...

First Citizens Global Services India LLP, a part of First Citizens BancShares, Inc., a prominent U.S. financial institution, operates as a global capability center (GCC) situated in Bengaluru. Drawing from the company's rich 125-year legacy of strength and stability, First Citizens India is dedicated to delivering value and managing risks across various business lines. The organization prides itself on fostering a robust, relationship-oriented culture and a long-term perspective that is deeply rooted in its talented workforce. This commitment is evident in key operational areas such as Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. As w...