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Senior Associate - Regulatory Compliance

Senior Associate - Regulatory Compliance

Golden Opportunities

3 - 8 years

6 Lacs

hyderabad

Posted:None| Platform:

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Skills Required

regulatory compliance aml regulatory reporting insurance domain fraud investigations

Work Mode

Work from Office

Job Type

Full Time

Job Description

Prepare and deliver compliance and regulatory reports (e.g., market conduct exams, subpoenas, data extracts).
Support internal and external audits, including Early Warning Reports and TEFRA-related documentation.
Maintain and update compliance-related SOPs and documentation.
Conduct fraud investigations using tools like GIACT.
Monitor and report suspicious activities in alignment with AML/OFAC guidelines.
Collaborate with SMEs for escalations and legal signoffs.
Track and report customer complaints and escalated matters.
Obtain and maintain appropriate licensure if required to support broker/dealer or securities-related services (e.g., FINRA Series 6).
Contribute to the development and maintenance of the Policies and Procedures Manual.
Participate in governance meetings and provide compliance input as needed. Support the Service Providers reporting obligations.

Contact Person

Email

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