Senior Associate- Regulatory Complaince - GO/JC/802/2025

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 Provider�s reporting obligations.

Skills Required

RoleSenior Associate- Regulatory ComplainceIndustry TypeITES/BPO/KPOFunctional AreaITES/BPO/Customer ServiceRequired EducationEmployment TypeFull Time, PermanentKey Skills

• INSURANCE DOMAIN
• REGULATORY REPORTING
  

Other Information
Job CodeGO/JC/802/2025Recruiter NameGayathri B