Compliance Analyst, Distribution

ACA Group; Maharashtra; On-site; INR 700,000 - 1,100,000; Full time

Job summary

ACA Group is a leading GRC adviser in financial services, offering consulting, managed services and our ComplianceAlpha technology. The Compliance Analyst, Supervision role supports the Supervision Team by reviewing communications and questionnaires to ensure alignment with broker-dealer policies.

The role requires a Bachelor's degree or equivalent, FINRA SIE/S7/S24 licenses, and at least 3 years of relevant experience in financial services.

Qualifications

• 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 evolving regulatory environment and competing demands.

Responsibilities

• Conduct electronic surveillance of registered representative communications and review for potential compliance issues.
• Maintain clear and thorough regulatory documentation for internal and external examination.
• Assist with compliance monitoring, reporting and metrics.
• Create and format regulatory certifications for Supervision counterparts.
• Support other compliance-related projects and tasks as assigned by the Supervision Manager.
• Work under pressure to meet regulatory deadlines.

Skills

Office software

Regulatory compliance

Attention to detail

Time management

Communication skills

Education

Bachelor's degree

Tools

Regulatory software

Job description

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

The Opportunity:

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.

What you'll do:

• 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.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected status in accordance with applicable law.