Subject Matter Expert Orcapod Consulting Services

4.0 - 8.0 years

4 - 8 Lacs

hyderabad

Work from Office

Location - Hyderabad Work Model - Work From Office Shift - US Shift Level - SME Notice Period - Immediate/30 Days/45 Days Job Title: Regulatory Compliance Analyst Location : Hyderabad, Hybrid Model Reporting To : Operations Leader / Compliance Lead Employment Type : Full-time Role Summary: The Regulatory Compliance Analyst will be responsible for supporting Clients compliance obligations across various regulatory domains including SEC, FINRA, AML/OFAC, and annuity-related regulations. This role ensures timely and accurate reporting, supports audits and exams, and contributes to maintaining a compliant and risk-aware operational environment. Key Responsibilities: Regulatory Oversight & Reporting 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 Orcapod Consulting Services Pvt Ltd. Email I sonali.chattopadhyay@orcapod.work www.orcapodservices.com 9548431649 C3: Private Job Description: Regulatory Compliance Analyst | 1

Posted 7 hours ago

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