15/11 Anshul Bangia
Partner at Symphoni HR

Views:2537 Applications:117 Rec. Actions:Recruiter Actions:4

Compliance Analyst - Brokerage Firm (3-5 yrs)

Mumbai Job Code: 765107

A leading US based Brokerage firm is looking out for a Compliance Analyst with regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer or similar organization to work for their Compliance Department.


- Review client documents for account approvals and enquiries

- Obtain documents and reports as per KYC requirements

- Perform checks on 3rd parties and regulatory website

- Investigate factual and regulatory rule background behind client trading and financial activity

- Creating and reviewing surveillance reports of financial and trading activity

- Working on Anti-Money Laundering Program

- Updating policies and procedures and verifying their implementation


- 3+ years of relevant experience

- Graduate degree/PG in Accounting or Legal

- Experience in Politically Exposed Person (PEP), World-Check, OFAC and Sanction Review is a must

- Knowledge of KYC/AML compliance

- Experience in the financial industry is required

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

Add a note
Something suspicious? Report this job posting.