16 Sec Regulations Jobs

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 success in this position. You will collaborate with internal and external stakeholders, reviewing and approving regulatory filings such as Form N-PORT and Form N-CEN. Additionally, you will play a crucial role in maintaining data integrity, ensuring completeness and accuracy of reports, and liaising with vendors and internal teams for regulatory compliance. The Regulatory Reporting Analyst position offers a unique opportunity to work with a diverse range of products within the Global Fund Administration, providing exposure and experience uncommon in a typical fund complex environment. This role encourages analytical thinking to support the reporting process, fostering professional growth and development. Candidates with 2-4+ years of experience in the mutual fund or finance industry, complemented by a 4-year degree in a business field, particularly accounting or finance, are ideal for this role. Proficiency in mutual fund accounting, SEC regulations, financial reporting, and spreadsheet applications is crucial. Adeptness in standard desktop tools and prior experience in process management/improvement are advantageous. Join us in this challenging yet rewarding role where you can expand your accounting knowledge, enhance your analytical skills, and contribute to the continuous improvement of our regulatory reporting processes.,

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 aligned with business goals Provide financial insights to support strategic decisions and investments Financial Planning & Analysis (FP&A): Lead budgeting, forecasting, and business planning cycles Monitor financial performance, KPIs, and risk metrics Controllership & Compliance: Ensure accurate financial reporting and adherence to US GAAP Lead audits, tax planning, and internal controls Oversee global accounting teams and ensure regulatory compliance in all geographies I nvestor Relations & Capital Markets: Manage investor communications, quarterly earnings, and analyst interactions Support capital raising initiatives, M&A, and market disclosures Maintain relationships with banks, analysts, and institutional investors Corporate Governance: Ensure compliance with SEC regulations and SOX requirements Work closely with the Board of Directors, Audit Committee, and external auditors Operational Efficiency & Cost Management: Identify and drive margin improvement initiatives Leverage automation and systems to streamline financial operations Key Requirements CA/CPA/CFA Preferred; additional qualifications in law or economics will be an advantage 19+ years of progressive experience in finance leadership roles Prior experience as Vice President or Head of Finance in a US-listed IT/Tech company (NASDAQ/NYSE) Deep knowledge of US GAAP, SEC regulations, SOX compliance, and international tax laws Experience working with global teams across geographies (US, India, EMEA, APAC) Proven track record in investor relations, M&A, and capital raising Strong leadership, stakeholder management, and communication skills Technology-savvy, with exposure to ERP systems (SAP, Oracle, NetSuite, etc.) Preferred Experience IPO or post-IPO Experience in high-growth environments or with private equity-backed firms Exposure to IT services, SaaS, cloud solutions, or digital transformation domains Actively participate

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 information to be reported by the accounting and finance teams. Working closely with the Corporate Controllers Team, you will contribute to the preparation and delivery of external financial reporting, including quarterly earnings release materials and various SEC filings. Your role will also entail coordinating external reporting activities, managing the flow of financial data into the SEC filing tool, Workiva. You will participate in reviewing transactions to ensure compliance with US GAAP, utilize accounting research tools, and prepare Audit Committee presentations along with the quarterly financial supplemental package. In addition, you will reconcile net income to EBITDA, prepare key financial reports, and lead the Tic and Tie process to ensure accuracy in transferring information to Workiva. Furthermore, you will manage SEC submission checklists, support the research of accounting issues and new pronouncements, and assist auditors in reviewing financial statements. Maintaining the XBRL taxonomy, assisting in XBRL filings, and handling ad-hoc requests related to SEC Reporting will also be part of your responsibilities. To qualify for this role, you should hold a Bachelors or University Degree in Finance or Accounting, coupled with a minimum of three years of experience in accounting or finance, preferably at a large corporation or public accounting firm. Experience with Workiva WDesk is advantageous. Being flexible, team-oriented, maintaining strict confidentiality, and possessing a strong knowledge of GAAP and SEC Reporting Requirements are key attributes for success in this role.,

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 infrastructure, conducting BCDR verification and testing, documenting tasks and procedures, ensuring client uptime outside of standard business hours, and collaborating with the U.S based team to meet project timelines. To excel in this role, you should have 5 years or more experience in IT consulting, MSP, or similar environments beyond helpdesk support, proficiency in Mac, Windows, Linux, and Windows Server operating systems, knowledge of the NIST Cybersecurity Framework, familiarity with HIPPA, SEC, and PCI compliance, CCNA and MCSA certifications or actively working towards obtaining them, experience with PSA and RMM systems, Microsoft SQL administration skills, knowledge of Windows Server from 2008 onwards, experience with Azure and AWS, strong written and verbal communication skills, proficiency in task and project management without direct supervision. If this opportunity aligns with your skills and experience, please send your resume to senthil.kumar@rigpa.in.,

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 will provide exceptional services and solutions to internal stakeholders and clients. The office plays a crucial role in enhancing process efficiency and transformation across the organization, embodying KKR's global culture of teamwork and innovation. With multifunctional business capabilities, the Gurugram office contributes significantly to KKR's growth and transformation initiatives. As part of KKR's Compliance function, you will join the Code of Ethics team, responsible for overseeing the Surveillance and Monitoring Program, including Communication Surveillance. Your primary focus will be on monitoring aspects related to conflict of interest, specifically around the Firm's Personal Investment Policy and other policies aimed at mitigating conflicts between the Firm and its employees. Your responsibilities will include real-time and retrospective surveillance of electronic communications like emails, instant messages, and voice recordings using advanced tools. You will identify and analyze suspicious patterns indicative of market abuse, insider trading, conflicts of interest, or other regulatory violations. Additionally, you will collaborate closely with Compliance, Legal, and other stakeholders to escalate findings, facilitate investigations, and implement necessary remedial actions. To excel in this role, you should have 4-6 years of compliance experience, preferably in surveillance and monitoring. A strong understanding of financial markets and instruments, as well as relevant regulations (SEC, FINRA, MiFID II), will be advantageous. You must possess excellent analytical skills, attention to detail, and the ability to work independently in a fast-paced environment. Familiarity with Code of Ethics software and surveillance tools, along with proficiency in Microsoft Excel, PowerPoint, and Word, is preferred. Overall, you are expected to demonstrate the highest levels of integrity, teamwork orientation, and collaboration. Building strong relationships with colleagues, efficient communication skills, and responsiveness to employee requests are essential for success in this role.,

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 1-4 years of technical accounting experience. Understanding of audit services with mediocre to in-depth knowledge of US GAAP and IFRS Experience (Intermediate to advanced level) with any or all of following GAAP standards preferred: ASC 805, 606, 842, 280, 810, 815, 718, 323, 325, 480 preferred. IFRS 3, 9, 10, IAS 28, 32. Experience in accounting for mergers and acquisitions (business combinations). Assist in the preparation and review of technical memos and other disclosures on engagements. Advanced written and verbal communication skills. Experience in drafting sections of Form F1, F4, 10-K, 10-Q, S-1, S4 PCAOB financial statement uplift and Audit Readiness assistance. Show more Show less

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 auditor assistance with quarterly reviews and annual audits. Essential Responsibilities: Prepare SEC reporting documents (10-Q, 10-K, 8-K) including XBRL tagging in partnership with the external service provider Prepare footnote support schedules, tie-out support for SEC filings and disclosure checklists Assist with research and preparation of technical accounting memos Collaborate with the general accounting team to prepare corporate financial reporting for internal analysis and external SEC filings Collaborate with the legal team to ensure compliance with SEC regulations Work closely with external auditors to manage the financial quarterly review and annual audit process Provide financial analysis including explanations of variances between actual and budget/prior period Ensure internal controls over financial reporting, including disclosure controls and procedures, are adequate and operating effectively Participate in monthly/quarterly financial close review meetings to ensure appropriate accounting of transactions and accurate external reporting Participate in special projects and ad hoc requests as needed Qualifications: 0-2 years with SEC reporting experience preferred Strong knowledge of US GAAP and SEC reporting requirements Software industry experience preferred Ability to work closely with management Commitment to all reporting and audit deadlines Exceptional organizational skills, project management experience to include management of large- scale/global initiatives Certifications: CA CPA preferred

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 Adviser clients. Key Responsibilities Preparation of financial reports in accordance with GAAP Preparation of regulatory reports, to include FOCUS, SSOI, SIS, OBS and other required reports Download from the accounting system reports to review and tie accounts to back up documentation. Download and complete bank reconciliations and other statement reconciliations as needed. Work with the internal database to add notes and items needed for the preparation of financials and regulatory reports. Communicate with clients regarding pending items to complete financials and regulatory reports. Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies Other tasks and duties as assigned Qualifications (Personal, Educational, Experience) Associates degree in Accounting, Business Administration preferred 2+ years of accounting or office experience Working knowledge of Microsoft Working knowledge of Accounting software, Quick Books Online experience a plus Strong oral and written communications skills Proven audit/work monitoring skills Ability to interpret written or oral instructions received from manager Ability to effectively and efficiently complete assigned tasks Proven ability to handle multiple deadlines Attention to detail What working at ACA offers: We offer a competitive compensation package where youll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical coverage fully funded by ACA for employees and their family as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs and Employee Resource Groups. Youll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial and emotional well-being. What we commit to: ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected status. Show more Show less

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 accounting processes and systems will contribute to the overall efficiency of the general ledger team. Additionally, you will provide exceptional customer service to finance and non-finance business partners by offering timely responses, financial insights, and relevant reporting. As an ideal candidate for this position, you should possess a Bachelor's degree with an emphasis in Accounting and have 6-10 years of combined experience in public accounting (e.g., Big 4) and private industry at a publicly traded company. Holding a CPA or CPA equivalent certification would be advantageous. Strong problem-solving, analytical, and organizational skills are essential, along with the ability to adhere to deadlines in a fast-paced environment without compromising accuracy. Your role will also involve supporting quarterly reviews, annual audit requests, and ad hoc accounting projects as needed. Proficiency in Microsoft tools such as Excel, Word, and PowerPoint is required, and knowledge in Compensation Accounting would be a plus. Experience with NetSuite is preferred. At Okta, we value diversity, equity, and inclusion, and we offer amazing benefits to our employees. By joining our team, you will have the opportunity to make a social impact and contribute to a dynamic work environment that empowers employees to work productively. We are committed to providing the best tools, technology, and benefits to ensure that our employees can thrive and succeed in their roles. If you are a detail-oriented, communicative, and self-motivated individual who enjoys working in a challenging and collaborative environment, then Okta is the place for you. Join us in building a world where Identity belongs to you and be part of a team that celebrates diverse perspectives and experiences. Apply now and find your place at Okta today!,

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 finance teams, Operations teams, compliance, legal, and customers. Own the product backlog; write clear user stories and acceptance criteria to guide development. Collaborate closely with cross-functional teams including engineering, UX, QA, and business analysts to deliver high-quality product releases. Ensure that product features comply with US GAAP, SEC regulations, SOX compliance, and other relevant accounting standards. Conduct market research and competitor analysis to inform product enhancements. Engage with customers and internal users to validate product functionality and gather feedback. Monitor product performance metrics and drive continuous improvement. Facilitate Agile ceremonies such as sprint planning, backlog grooming, and sprint reviews. Manage stakeholder expectations and communicate progress, risks, and issues proactively. Qualifications: Bachelor&aposs degree in Finance, Accounting, Business Administration, or a related field. MBA or relevant certification (e.g., CPA, CFA) is a plus. Overall 9+ years and out of that 3+ years experience as a Product Owner or Business Analyst in the financial services or accounting domain. Strong understanding of US financial regulations, accounting standards, and compliance requirements. Proven experience working in Agile/Scrum environments. Excellent communication and stakeholder management skills. Analytical mindset with the ability to translate business needs into technical requirements. Familiarity with financial software products (ERP systems, accounting platforms, financial reporting tools). Experience working with US-based clients and understanding of US market nuances. Ability to manage multiple priorities in a fast-paced environment. Preferred Skills: Knowledge of regulatory frameworks such as SOX, SEC filings, and tax compliance. Knowledge of AP, AR, Bank Reconciliation, Profit and Loss, Income Journal, Balance Sheet Reconciliation, Month End Closing Experience with financial data analytics and BI tools. Proficiency with Jira, Big Picture, Confluence, Trello or other Agile project/product management tools. Experience working with diverse stakeholders and distributed teams. Show more Show less

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 we continue our mission of providing tailored solutions for our clients" aspirations, we are actively seeking skilled individuals to join our team. Value Preposition Contribute to fostering a culture of compliance where ethics and integrity form an integral part of our daily operations. Job Details - **Position Title:** Advisor - Compliance - **Career Level:** P1 - **Job Category:** Associate - **Role Type:** Hybrid - **Job Location:** Bangalore About The Team The Corporate Compliance team plays a crucial role in identifying, measuring, monitoring, and controlling regulatory compliance risks across all business units and enterprise-wide functions. Impact We are in search of a detail-oriented and highly motivated individual to serve as a valuable contributor in reviewing electronic communications identified through First Citizens" electronic communication surveillance platform. This role involves reviewing communications flagged for potential violations based on regulatory regulations and company policies, as well as conducting random sampling reviews. The position primarily focuses on ensuring compliance of electronic communications within our broker-dealer, investment adviser, and asset management functions with regulatory requirements and company policies. The ideal candidate will possess expertise in monitoring electronic communications for regulatory violations, implementing policies and procedures effectively, escalating issues accordingly, and suggesting improvements to enhance the e-surveillance program. Key Deliverables - Review electronic communications across various channels to identify potential violations of FINRA and SEC regulations. - Investigate flagged communications promptly and ensure timely escalation of potential violations. - Assess communications for potential escalation following established protocols. - Collaborate with team members to address identified issues and resolve escalated matters. - Stay informed about relevant FINRA and SEC regulations, and company policies related to communication monitoring. - Document findings accurately and comprehensively, and communicate them clearly to internal stakeholders. - Support audits and regulatory inquiries by providing necessary documentation and insights. Functional Skills **Skills and Qualification:** - Strong organizational, attention to detail, and communication skills. - Ability to work independently or collaboratively, meet deadlines, and adapt to changing priorities. - Capability to identify process improvements and potential risks, and provide constructive feedback. - Proficiency in Microsoft Office tools. **Technical/Business Skills:** - Previous Compliance experience, particularly in a broker-dealer, investment adviser, or asset management firm. - Sound knowledge of FINRA and SEC regulations related to public communications, marketing, advertising, and complaints reporting. - Ability to analyze electronic communications, differentiate issues, and leverage problem-solving skills. - Familiarity with the Global Relay surveillance platform is advantageous. Accessibility Needs We are dedicated to ensuring an inclusive and accessible hiring process. If you require accommodations at any stage of the process (e.g., application, interviews, onboarding), please inform us, and we will collaborate with you to facilitate a seamless experience. Equal Employment Opportunity,

Essential Responsibilities: Prepare SEC reporting documents (10-Q, 10-K, 8-K) including XBRL tagging in partnership with the external service provider Prepare footnote support schedules, tie-out support for SEC filings and disclosure checklists Assist with research and preparation of technical accounting memos Collaborate with the general accounting team to prepare corporate financial reporting for internal analysis and external SEC filings Collaborate with the legal team to ensure compliance with SEC regulations Work closely with external auditors to manage the financial quarterly review and annual audit process Provide financial analysis including explanations of variances between actual and budget/prior period Ensure internal controls over financial reporting, including disclosure controls and procedures, are adequate and operating effectively Participate in monthly/quarterly financial close review meetings to ensure appropriate accounting of transactions and accurate external reporting Participate in special projects and ad hoc requests as needed Qualifications: 0-2 years with SEC reporting experience preferred Strong knowledge of US GAAP and SEC reporting requirements Software industry experience preferred Ability to work closely with management Commitment to all reporting and audit deadlines Exceptional organizational skills, project management experience to include management of large- scale/global initiatives Certifications: CA CPA preferred

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 to the overall success of the organization. This is a full-time, permanent position with benefits including health insurance and Provident Fund. The schedule for this role is a night shift. As part of the application process, you will be asked if you are currently working or have worked in a Treasury department. The work location for this position is in person.,

Yext is the leading digital presence platform for multi-location brands, with thousands of customers worldwide. With one central platform, brands can seamlessly deliver consistent, accurate, and engaging experiences and meaningfully connect with customers anywhere in the digital world. Our AI and machine learning technology powers the knowledge behind every customer engagement, which is only possible through our team of innovators and enthusiastic collaborators. Join us and experience firsthand why we are consistently recognized as a "Best Place to Work" globally by industry leaders such as Built In, Fortune, and Great Place To Work! We are looking for a highly skilled Accounting Manager to join our growing and dynamic accounting team. In this role, you will be responsible for overseeing the monthly close process, analytical and financial metrics, team management & development, and process improvements to enhance efficiency and strengthen the overall control environment. Reporting directly to the Senior Manager, Accounting based in the U.S., you will lead a team of three and serve as the India Accounting Team Lead. Key responsibilities include managing aspects of the close process, such as cash, prepaids, fixed assets, publishers, and capitalizable software, while driving process improvements and automation initiatives. The ideal candidate should be eager to go beyond traditional accounting responsibilities and demonstrate strong management, communication, and problem-solving skills. You should have the ability to adapt to a fast-changing environment and possess a collaborative mindset to drive the company's growth and scalability. Your responsibilities will include assisting in managing the month-end close and reporting process for Accounting, managing day-to-day accounting operations related to the close process, developing and mentoring a high-performing team, researching and implementing new accounting policies and procedures, reviewing accounting transactions for accuracy and compliance with GAAP and SEC regulations, summarizing complex transactions for senior leadership, leading and participating in process improvement initiatives, collaborating cross-functionally to provide financial insights, managing external auditors, supporting strategic company projects, and communicating and executing team vision and strategy. The ideal candidate should have a BA/BS degree in Accounting or a related field, be a Chartered Accountant or equivalent professional designation, have 8+ years of accounting experience (preferably with Big 4 background or Big 4/private mix & working in US Public Company), possess advanced Microsoft Excel skills, exhibit strong leadership experience, be detail-oriented and process-driven, have strong analytical skills, be able to work well under pressure, have experience in finance/business process improvement initiatives, and be proficient in systems such as NetSuite, Coupa, Workday, Blackline, Floqast, and Tableau or equivalent systems. At Yext, we offer a wide range of benefits and perks to ensure our employees are at their best, including performance-based compensation, a comprehensive leave package, health & wellness offerings, relocation benefits, and a world-class office with top-notch amenities. Join us in our mission to transform the enterprise with AI search and be a part of our global team of innovators and collaborative thought leaders.,

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 the 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 candidates will also assist with drafting and maintaining procedures, providing reporting on review rate for the 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 Qualifications: 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 the 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 the team, providing performance feedback, leading the team through periods of change and transition, and the 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,

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 auditor assistance with quarterly reviews and annual audits. Essential Responsibilities: Prepare SEC reporting documents (10-Q, 10-K, 8-K) including XBRL tagging in partnership with the external service provider Prepare footnote support schedules, tie-out support for SEC filings and disclosure checklists Assist with research and preparation of technical accounting memos Collaborate with the general accounting team to prepare corporate financial reporting for internal analysis and external SEC filings Collaborate with the legal team to ensure compliance with SEC regulations Work closely with external auditors to manage the financial quarterly review and annual audit process Provide financial analysis including explanations of variances between actual and budget/prior period Ensure internal controls over financial reporting, including disclosure controls and procedures, are adequate and operating effectively Participate in monthly/quarterly financial close review meetings to ensure appropriate accounting of transactions and accurate external reporting Participate in special projects and ad hoc requests as needed Qualifications: 0-2 years with SEC reporting experience preferred Strong knowledge of US GAAP and SEC reporting requirements Software industry experience preferred Ability to work closely with management Commitment to all reporting and audit deadlines Exceptional organizational skills, project management experience to include management of large- scale/global initiatives Certifications: CA CPA preferred