Advisor - Compliance (E-Communications & Surveillance)

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:  Advisor - Compliance

Career Level:  P1

Job Category: Associate

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 individual contributor 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.

Key Deliverables

• The primary responsibility is to review electronic communications in a variety of channels to identify potential violations of FINRA and SEC regulations, including but not limited to communications with the public, marketing and advertising, and complaints reporting.
• Investigate and review flagged communications in a timely manner and ensure potential violations are promptly escalated.
• Review electronic communications and assess if they require escalation or are non-issues by following established protocols and procedures.
• Collaborate with other e-Surveillance and Compliance team members to address identified issues and support the resolution of escalated matters.
• Maintain up-to-date knowledge of applicable FINRA and SEC regulatory requirements, as well as company policies related to communications monitoring.
• Utilize research, analytical, and organizational skills to document findings and ensure records are accurate and comprehensive.
• Provide clear and concise communication of findings and recommendations to internal stakeholders.
• Support audits and regulatory inquiries by providing documentation and insights needed.

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.
• 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 research and analyze electronic communications by using problem-solving and decision making skills to differentiate between issues and non-issues while researching cases and history related to issues.
• Proficiency with Global Relay surveillance platform is a plus.

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.