Financial Operations Expert

3 days ago


Karachi, Sindh, Pakistan Logiciel Services, Llc Full time

We are seeking an experienced Financial Operations Expert to join our team at Logiciel Services, Llc.

About the Role:

This position involves overseeing financial operations and maintaining regulatory compliance. You will serve as the primary point of contact for all internal/external stakeholders regarding FINRA-related queries and report specified events to FINRA for CAT/CAIS reporting.

Responsibilities:
  • 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.
What We Offer:

As a Financial Operations Expert, you will have the opportunity to work closely with various teams, including Customer/Client support, Relationship management, IT, Development and other Operations teams. If you have a passion for financial operations and regulatory compliance, this could be the ideal role for you.

  • Requirements:
  • 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.


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