Senior Associate- Regulatory Compliance

The senior associate in regulatory compliance will be responsible for preparing and delivering compliance and regulatory reports, such as market conduct exams, subpoenas, and data extracts. You will support internal and external audits, including Early Warning Reports and TEFRA-related documentation. Additionally, maintaining and updating compliance-related SOPs and documentation will be part of your role. You will conduct fraud investigations using tools like GIACT and monitor and report suspicious activities in alignment with AML/OFAC guidelines. Collaboration with subject matter experts for escalations and legal signoffs is essential. Tracking and reporting customer complaints and escalated matters will also be a key responsibility. If required to support broker/dealer or securities-related services, you will obtain and maintain appropriate licensure, such as FINRA Series 6. Contributing to the development and maintenance of the Policies and Procedures Manual is part of the role, along with participating in governance meetings and providing compliance input as needed. Furthermore, you will support the service provider's reporting obligations. Key skills for this position include expertise in the insurance domain and regulatory reporting. The role is in the ITES/BPO/KPO industry, specifically in the ITES/BPO/Customer Service functional area. This is a full-time, permanent position with the job code GO/JC/802/2025. The recruiter for this position is Gayathri B.,