Senior Analyst Communications Compliance

Overview

Senior Analyst, Communications Compliance is responsible for reviewing and approving complex communications and ensuring they meet applicable FINRA, SEC, state securities, and insurance regulations and company policies.

What you'll do

• Review and approve public, retail, institutional, and internal communications for regulatory compliance.
• Interpret FINRA/SEC regulations, guidance, and comment letters to assess whether communications meet standards.
• File required communications with FINRA and maintain advertising/communications records.
• Respond to internal and FINRA inquiries related to communications compliance requirements and review process.
• Develop and maintain communications compliance procedures, controls, and surveillance reviews/investigations.
• Prepare quarterly and annual compliance reporting for management and senior leadership.

What you'll need

• 8+ years of experience in financial services compliance.
• Knowledge of registered securities products and communications compliance requirements.
• Comprehensive understanding of securities and insurance products for public communication compliance reviews.
• Strong knowledge of FINRA, SEC, federal/state securities regulations, and applicable insurance regulations.
• FINRA Series 6 and 26 registrations or Series 7 and 24 registrations.
• FINRA Fingerprinting required.
• Bachelor's degree or equivalent.

Details

• Location: KA Bangalore.