Compliance Analyst , Distribution

Job Summary

The Compliance Analyst, Supervision role will support the Supervision Team within BD Compliance. Using a variety of applications and reports, the Analyst performs review and analysis of Registered Representative communications, questionnaires, and other activities to ensure compliance with industry and broker dealer policies.

Location: Pune, IN

Responsibilities

• Conduct electronic communication surveillance of registered representative communications, including email and other approved platforms for business communications within various systems; including review and escalation of potential compliance issues.
• Maintain clear and thorough compliance documentation, suitable for internal and external examination.
• Assist with compliance monitoring, reporting and metrics
• Create and format regulatory certifications to provide to Supervision counterparts.
• Other compliance-related projects and tasks as assigned by the Supervision Manager.
• Work under pressure and time constraints to ensure regulatory deadlines are met.

Required Education and Experience

• Bachelor s degree or equivalent work experience.
• FINRA SIE, S7, S24 licenses required.
• Minimum 3 years of relevant work experience, preferably in financial services.
• Ability to adapt to ever-changing regulatory environment and address competing/conflicting demands

Required Skills and Attributes

• Experienced user of standard office and regulatory software preferred.
• Strategic problem solver committed to collaboration, innovation, and team function, with the highest standards of personal and professional integrity and ethics
• Strong communication and organizational skills, and high attention to detail
• Ability to prioritize and meet multiple deadlines.
• Self-starter and team player with the ability to work with limited supervision.
• High attention to detail.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.