Senior Manager - Compliance

FC Global Services India LLP (First Citizens India), a part of First Citizens BancShares, Inc., a top 20 U.S. financial institution, is a global capability center (GCC) based in Bengaluru. Our India-based teams benefit from the company’s over 125-year legacy of strength and stability. First Citizens India is responsible for delivering value and managing risks for our lines of business. We are particularly proud of our strong, relationship-driven culture and our long-term approach, which are deeply ingrained in our talented workforce. This is evident across all key areas of our operations, including Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. We are seeking talented individuals to join us in our mission of providing solutions fit for our clients’ greatest ambitions.

Job Description:

Value Preposition

Contribute to creating a culture of compliance where ethics and integrity are a critical part of what we do every day.

Job Details

Position Title:  Senior Manager - Compliance

Career Level:  L2

Job Category: Assistant Vice President

Role Type: Hybrid

Job Location: Bangalore  

About the Team:

Corporate Compliance's primary role is to identify, measure, monitor, and control applicable regulatory compliance risks across all business units and enterprise-wide functions.

Impact

We are seeking a detail-oriented, highly motivated manager to review electronic communications identified via First Citizens’ electronic communication surveillance platform flagged for review based on regulatory regulations and company policy as well as random sampling reviews. The surveillance focuses on ensuring that electronic communications across our broker-dealer, investment adviser, and asset management functions comply with regulatory requirements and company policies. The position will execute day-to-day surveillance, including review of all electronic communication types, by reviewing records of electronic communications flagged for potential violations and/or suspicious activity, communicating feedback and findings to Compliance, and identifying potential enhancements for surveillance lexicons. The ideal candidate will have expertise in monitoring electronic communications for potential regulatory violations, applying policies and procedures effectively, escalating issues appropriately, and identifying enhancements to further improve the e-surveillance program. Successful candidate will also assist with drafting and maintaining procedures, providing reporting on review rate for team and volume/backlog, coaching and upskill training for reviewers, providing QA for electronic communication reviews and analyzing lexicons for refinement.

Key Deliverables

• Can execute all tasks associated with the reviewer role and execute the additional responsibilities listed below.

• Provide guidance and oversight for reviewers by addressing inquiries, providing coaching and feedback, and problem solving as issues arise.

• Conduct QA activities for communications that have been reviewed and communications that have been escalated ensuring accuracy and correct disposition.

• Support the onboarding of new reviewers including identifying associates skilled to work, systems access, training, enhanced supervision of work product, and liaising with Compliance and Technology through onboarding completion.

• Provide backup support for reviewers during seasons of higher review volume, point in time needs or projects, and/or when a backfill is required.

• Timely review and update of procedures, tracking documents, and various other documentation.

Skills and Qualification

Functional Skills:

• Strong organization skills, attention to detail, and communication skills for collaboration, reporting, and documentation of findings.

• Ability to work independently or with a team, meet deadlines, and pivot as priorities shift.

• Ability to identify and provide feedback regarding process improvements and potential risks.

• Knowledge of regulatory changes, enforcement actions, and regulatory landscape as it pertains to e-surveillance.

• Microsoft Office proficiency.

Technical/Business Skills:

• Previous Compliance experience, preferably within a broker-dealer, investment adviser, or asset management firm. Experience in e-Surveillance preferred.

• Comprehensive knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting.

• Ability to make independent judgement and use informed discretion when dispositioning communications as an issue or non-issue.

• Proficiency with Global Relay surveillance platform is a plus.

Leadership Qualities

• Strong leadership skills including coaching and guiding team, providing performance feedback, leading team through periods of change and transition, and ability to build strong relationships within the team.

• Ability to work independently with minimal oversight, execute against priorities in a timely manner, and adapt to priority shifts.

Relationships & Collaboration

• Ability to build and maintain strong working relationships with business partners through strong communication and a proactive approach to problem solving and identifying risks.

Accessibility Needs

We are committed to providing an inclusive and accessible hiring process. If you require accommodations at any stage (e.g. application, interviews, onboarding) please let us know, and we will work with you to ensure a seamless experience.

Equal Employment Opportunity

FC Global Services India LLP (First Citizens India) is an Equal Employment Opportunity Employer. We are committed to fostering an inclusive and accessible environment and prohibit all forms of discrimination on the basis of gender, religion, caste, disability, sexual orientation, economic status or any other characteristics protected by the law. We strive to foster a safe and respectful environment in which all individuals are treated with respect and dignity. Our EEO policy ensures fairness throughout the employee life cycle.