Job description
Experience : 0.6 months to 3 years
Notice period : Immediate Joiner
Location : Bangalore, Pune
Note : Compliance experience in any domain with good communication skills are preferred. Compliance experience is mandatory.
Skills and Qualification
- Candidate should have minimum 1 to 5 Years of work experience in E-communication/Mail Surveillance L2 Reviews preferably within a broker-dealer, investment adviser, or asset management firm.
- Comprehensive knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting.
- Ability to research and analyze electronic communications by using problem-solving and decision-making skills to differentiate between issues and non-issues while researching cases and history related to issues.
- Proficiency with proof-point surveillance platform is a plus.
Certifications Needed:
- Education: 12 + 3 Degree Education is mandatory – B Com, BBA and BBM Graduates preferred, however Candidate with good work experience but with other Specialization can be looked into to some extent Only.
- Additional Certification on Stock Market Subjects & US Regulatory Bodies is added advantage.
- No Tech Graduates – BE, B Tech, M Tech
Job Category: BFSI
Job Type: Full Time
Job Location: Bengaluru