40 Sec Regulations Jobs

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 joining First Citizens India as a Senior Manager - Compliance in the Corporate Compliance team. Your primary responsibility will be to review electronic communications to ensure compliance with regulatory requirements and company policies. You will also be involved in coaching, training, and providing oversight to reviewers, as well as identifying process improvements and potential risks. Key Responsibilities: - Review electronic communications flagged for potential violations and suspicious activities - Provide feedback and findings to Compliance team - Identify enhancements for surveillance lexicons - Conduct Quality Assurance activities for reviewed communicatio...

Role Overview: You will be joining Corporate Compliance team at FC Global Services India LLP as a Senior Manager - Compliance. Your primary responsibility will be to review electronic communications to ensure compliance with regulatory requirements and company policies. You will play a crucial role in maintaining a culture of compliance and integrity within the organization. Key Responsibilities: - Review electronic communications flagged for potential violations and suspicious activity - Communicate feedback and findings to Compliance team - Identify enhancements for surveillance lexicons - Provide guidance and oversight for reviewers - Conduct quality assurance activities for reviewed comm...

Role Overview: FC Global Services India LLP, a part of First Citizens BancShares, Inc., is a global capability center (GCC) based in Bengaluru. The company boasts a legacy of over 125 years, focusing on delivering value and managing risks for its lines of business. The organization is known for its strong, relationship-driven culture and a long-term approach ingrained in its workforce across various key operational areas. Key Responsibilities: - Review electronic communications identified via First Citizens electronic communication surveillance platform for potential violations of regulatory regulations and company policies. - Investigate and review flagged communications in a timely manner,...

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...

Job Description Job Summary Senior Transaction Processing Executive/Officer Email Review / Electronic Communication Surveillances L2 Escalation (US Client). Skills and Qualification Candidate should have minimum 1 to 5 Years of work experience in E-communication/Mail Surveillance L2 Reviews preferably within a broker-dealer, investment adviser, or asset management firm. Comprehensive knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting. Ability to research and analyze electronic communications by using problem-solving and decision-making skills to differentiate between issues and non-issues while researching cases ...

As an Assistant to the SEC Reporting Manager, your role will involve assisting in interfacing with senior management, external auditors, and consultants to ensure compliance with U.S. GAAP and SEC regulations. You will also be responsible for developing financial reporting calendars, assisting in the external financial reporting process, and coordinating external reporting activities. Your key responsibilities will include: - Developing monthly and quarterly financial reporting calendars and project plans - Supporting the external financial reporting process, including quarterly and annual reporting (Form 10-Q and Form 10-K) - Working closely with the Corporate Controllers Team to prepare ex...

Role Overview: As a Regulatory Reporting Analyst at AB, Pune, India, you will be joining the Global Fund Administration department in Global Technology & Operations. Your primary responsibility will be reviewing and approving Form N-PORT on a monthly basis, along with compiling answers from various sources and reviewing Form N-CEN for regulatory filings. Your role will involve supporting the firms pooled vehicles and collaborating with internal and external business partners. Key Responsibilities: - Download filings from the vendors portal and gather all necessary support from various sources - Ensure data integrity and completeness checks of reports - Prepare review templates and liaise wit...

Skill required: Retirement Solutions - Data Entry Services Designation: Customer Service Associate Qualifications: Any Graduation Years of Experience: 1 to 3 years About Accenture Accenture is a global professional services company with leading capabilities in digital, cloud and security.Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Technology and Operations services, and Accenture Song all powered by the world's largest network of Advanced Technology and Intelligent Operations centers. Our 699,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries. We ...

As an IT support specialist at our company, your primary responsibilities will include: - Configuring Windows and Mac based computers - Monitoring system issues through 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 - Implementing scripting solutions for task automation - Handling change requests for various services and systems - Optimizing network deployments including switches, access points, and routers - Configuring and monitoring network firewall assets - Conductin...

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...