Subject Matter Expert

Location - Hyderabad

Work Model - Work From Office

Shift - US Shift

Level - SME

Job Title: Regulatory Compliance Analyst

• 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.

Complaints & Escalations

• Track and report customer complaints and escalated matters.
• Ensure proper documentation and resolution in accordance with Talcotts compliance standards.

Licensure

• Obtain and maintain appropriate licensure if required to support broker/dealer or securities-related services (e.g., FINRA Series 6).

Documentation & Governance

• 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.

Qualifications:

• 3+ years of experience in annuity or retirement services processing and/or annuity and/or retirement services subject matter expertise.
• Familiarity with annuity regulations and tax reporting.
• Familiarity with SEC Rule 38a-1, Investment Company Act, FINRA Series 6/7 requirements.
• Strong analytical, documentation, and communication skills.

Functional Competencies:

• Regulatory Reporting & Documentation

• Ability to prepare and deliver compliance reports (e.g., market conduct exams, subpoenas, TEFRA documentation).
• Skilled in maintaining and updating SOPs and compliance documentation.

• Audit & Examination Support

• Proficient in supporting internal and external audits, including Early Warning Reports.
• Familiarity with regulatory frameworks such as SEC, FINRA, and insurance-related standards.

• Complaint & Escalation Management

  - Experience in tracking, documenting, and resolving customer complaints and escalations.

• Licensure & Regulatory Adherence

  - Understanding of licensure requirements (e.g., FINRA Series 6) and ability to maintain compliance.

• Governance Participation

  - Ability to contribute to policy development and participate in governance meetings.

Technical Competencies

• Annuity/Retirement Services

  Subject matter expertise derived from processing annuity transactions or involvement in annuity oversight.

• Regulatory Knowledge -

  Familiarity with SEC Rule 38a-1, Investment Company Act, and FINRA Series 6/7 requirements as it relates to annuities and annuity regulations.

• Documentation & Reporting Systems

  - Proficiency in managing compliance documentation and reporting systems.

Behavioral Competencies

• Analytical Thinking -

  Strong ability to analyze regulatory data and identify compliance risks.

• Communication -

  Clear and effective communication skills for reporting, documentation, and stakeholder interaction.

• Attention to Detail:

  High level of accuracy in preparing reports and maintaining compliance records.

• Collaboration:

  Ability to work with SMEs, legal teams, and cross-functional stakeholders.

• Adaptability:

  Comfortable working in a hybrid model and adjusting to evolving regulatory requirements.

Certifications (Preferred):

• FINRA Series 6 or 7
• Compliance-related training certifications

Valid PAN Number - _____________________(Why PAN Required > Mandatory to Process Candidature & Find Duplicity in Internal PAN Validation Process and also to initiate a screening call.

Please reach out in case of any queries.

Sonali Chattopadhyay I Associate People Success