Regulatory Analyst

1 week ago


Karachi, Sindh, Pakistan Logiciel Services, Llc Full time

Logiciel Services, Llc seeks an experienced Regulatory Analyst to oversee financial operations and maintain regulatory compliance.

Key Responsibilities:
  • Act as the primary point of contact for 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.
Why You'll Love This Role:

This position offers 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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