Senior Compliance Analyst

3 weeks ago

Karachi, Sindh, Pakistan Logiciel Services, Llc Full time

Bachelors/Masters degree in Computer engineering, Law or equivalent

Experience:

2 – 4 years

Job Description:

Role of Department: We aim to achieve service excellence while maximizing operational efficiency and matching organizational growth requirements. Our mission is to deliver high-quality support and innovative solutions that enhance client satisfaction and streamline operations, always ensuring efficient and reliable services.

Core Responsibilities:
  1. First point of contact for all internal/external stakeholders for all FINRA related queries.
  2. Report specified events to FINRA for CAT/CAIS reporting.
  3. Monitor unreported events and ensure accurate and timely reporting.
  4. Ensure compliance with FINRA rules & regulations.
  5. Comply with Regulations Best Interest BI i.e., best interest of the retail customers, when making recommendations of any CAT related issues.
  6. Accurate record keeping & management of CAT, CAIS and BXS files.
  7. Promote a culture of compliance within the organization.
  8. Ensure & maintain the health of CAT/CAIS portal and keep the compliance rate under 1 percent.
  9. Able to investigate logs and provide resolution to assigned tickets.
  10. Provide Level 2 support and troubleshoot escalated queries.
  11. Handle real-time Production issues and provide optimum solutions.
  12. Assign/escalate issues to relevant teams with complete details in a timely manner.
  13. Comprehend complicated issues and communicate to all internal and external stakeholders in a clear and concise manner.
  14. Efficiently deliver all assigned projects/tasks.
  15. Provide estimations of assigned work and work closely with Team Lead and GOPS management to ensure successful deliveries of all projects.
  16. Work closely with Customer/Client support, Relationship management, IT, Development and other Operations teams to ensure efficient outcomes.
  17. FIX Protocol knowledge would be a plus.
  18. Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience would be a plus.
  19. Advanced knowledge of the securities markets and member firm operations and its books and records would be a plus.
  20. Organized, thorough & process driven.
  21. Able to handle pressure and work on tight deadlines.
  22. Excellent problem-solving & communication skills.
  23. Energetic, Positive Can-Do attitude & effective team player.
  24. Be competent in computer systems and technologies.
  25. Comply with all organizational processes, procedures and policies.
  26. Ability to train & mentor new joiners.
  27. Ability to assist team lead & GOPS management in all initiatives.
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