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