Compliance Operations Analyst

Overview

The Compliance Operations Analyst supports Regulatory Compliance, Licensing, Registration, and Broker-Dealer Operations through regulatory operations, reporting, administrative coordination, data quality, and analytical support, working under the direction of Compliance leadership.

What you'll do

• Perform operational activities supporting regulatory compliance, licensing, registration, and broker-dealer operations.
• Maintain regulatory records, documentation, operational files, and supporting materials in accordance with internal governance and regulatory requirements.
• Support the preparation, review, and processing of regulatory forms, licensing documentation, registration activities, and related operational requests.
• Coordinate documentation and materials supporting regulatory examinations, audits, and internal reviews.
• Perform quality reviews of operational data and documentation to ensure accuracy, completeness, and consistency.
• Support administration of regulatory systems, databases, and operational tools used for licensing, registration, and broker-dealer activities.
• Maintain and distribute recurring operational metrics, dashboards, and management reports for Compliance Operations.
• Compile data from multiple systems to report on workload, service levels, regulatory activities, operational performance, and key performance indicators.
• Analyze operational data to identify trends, exceptions, outstanding requirements, and opportunities for process improvement.
• Produce reporting supporting licensing, registration, training, issue management, attestations, and other Compliance Operations activities.
• Assist with the development and enhancement of reporting solutions that improve visibility into regulatory obligations and operational performance.
• Coordinate administration of required corporate and regulatory training programs, including monitoring enrollment, attendance, completion status, and overdue requirements.
• Prepare recurring training reports and coordinate reminders and follow-up activities for outstanding requirements; maintain training records and supporting documentation.
• Maintain calendars and tracking tools for regulatory deadlines, examinations, operational milestones, projects, deliverables, and recurring compliance activities.
• Coordinate, initiate, and monitor recurring associate attestations and certifications required by Compliance programs, and produce reporting on completion rates, exceptions, and outstanding items.
• Maintain documentation supporting regulatory requirements and internal controls.
• Collaborate with onshore and offshore team members to ensure operational activities are completed within established service-level expectations.

What you'll need

• Bachelor's degree in Business, Finance, Accounting, Information Systems, or a related discipline, or equivalent professional experience.
• 2–4 years of experience in financial services, operations, compliance, business support, or a related analytical role.
• Experience working in a regulated or process-driven environment.
• Experience producing operational reports, dashboards, management metrics, or key performance indicators.
• Strong proficiency with Microsoft Excel, Word, and PowerPoint.
• Strong analytical and problem-solving skills with attention to data quality, accuracy, and detail.
• Ability to compile, reconcile, and analyze information from multiple systems or data sources.
• Strong organizational and time-management skills with the ability to manage multiple assignments and competing priorities.
• Ability to learn and work across multiple regulatory systems, databases, and operational processes.
• Effective written and verbal communication skills.
• Ability to collaborate effectively with geographically distributed teams and business partners.
• Ability to meet established deadlines and service-level expectations.
• Experience supporting regulatory documentation, licensing, registration, training administration, or other compliance operations processes.

Nice to have

• Experience in financial services, retirement services, broker-dealer operations, insurance operations, or Compliance Operations.
• Experience supporting licensing or securities registration activities.
• Experience with regulatory training administration, attestations, certifications, or compliance workflow management.
• Experience supporting regulatory examinations, audits, or internal reviews.
• Experience using Microsoft Power BI for dashboards, reporting, or data visualization.
• Experience using SharePoint or similar document management and workflow tools.
• Experience developing or maintaining operational reporting, dashboards, key performance indicators, or service-level metrics.
• Experience coordinating projects, regulatory deadlines, or recurring operational activities.
• Familiarity with continuous improvement or process optimization practices.

Details

• Location: Bangalore, Karnataka, India.