Supervision Analysts

ACA Group

3 - 8 years

5 - 10 Lacs

pune

Posted:1 month ago| Platform:

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Skills Required

financial analysis risk management road work business analysis accounting financial services research sales building construction secondary research financial operations compliance field work payment collection finance communication skills

Work Mode

Work from Office

Job Type

Full Time

Job Description

Review electronic communications sent and received by registered representatives of the firm in various systems. Confirm compliance with policies and procedures and document escalations
Utilize third party system to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations.
Liaise with internal Supervision counterparts to finalize comments to provide to the client (when applicable).
Work under pressure and time constraints to ensure regulatory deadlines are met.
Assist with various system related tasks, such as closing out stale files, running various volume reports, and uploading supporting documents to the system.
Create and format regulatory certifications to provide to Supervision counterparts.
Compile information related to office inspections and provide to inspectors
Compile information related to office inspections and provide to inspectors
Perform other ad-hoc work and special projects as necessary to support ACA s various client and internal initiatives.

Required Education and Experience:

3-5yrs of an experience

Minimum 3 years of relevant work experience, preferably in financial services

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