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15/11 Anshul Bangia
Partner at Symphoni HR

Views:2505 Applications:111 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

Women-friendly workplace:

Maternity and Paternity Benefits

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