senior compliance analyst

<div>
 <strong>
  Who We Are
  <br/>
  <br/>
 </strong>
 At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles:
 <em>
  We Before Me
 </em>
 ,
 <em>
  Do the Right Thing
 </em>
 , and
 <em>
  Get Things Done
 </em>
 . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more.
 <br/>
 <br/>
 <strong>
  About The Opportunity
  <br/>
  <br/>
 </strong>
 Join OKX at the forefront of innovation in the cryptocurrency space as a Compliance Manager, a pivotal role where you&rsquo;ll help shape and strengthen our global compliance framework. This opportunity is ideal for someone passionate about building clarity and structure within regulatory operations, particularly in Know Your Customer (KYC) and Know Your Business (KYB) processes. You will take the lead in mapping, refining, and operationalizing these critical processes to ensure seamless integration across the business. Beyond foundational KYC/KYB responsibilities, you will also contribute to safeguarding the platform by supporting the ongoing implementation and maintenance of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) controls. Working closely with cross-functional teams, this role offers the chance to influence internal standards, engage with regulatory developments, and contribute to global best practices in crypto compliance. You will also have the chance to influence industry standards through collaboration with regulatory industry groups. Engaging with cutting-edge technology, this role allows for continuous learning and adaptation in a fast-paced environment.
 <br/>
 <br/>
 <strong>
  What You&rsquo;ll Be Doing
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Policy Development : Maintain compliance policies and procedures that align with industry best practices and regulatory requirements.
  </li>
  <li>
   Risk Assessment: Conduct regular risk assessments and assurance reviews to identify potential compliance risks and recommend corrective actions.
  </li>
  <li>
   Reporting and Documentation: Prepare and submit compliance reports to senior management, ensuring timely and accurate documentation of compliance activities.
  </li>
  <li>
   Collaboration: Work closely with various departments, including legal, finance, and operations, to ensure a cohesive approach to compliance and risk management.
  </li>
  <li>
   Incident Management: Investigate compliance incidents or breaches, manage the response process, and implement corrective measures to prevent future occurrences.
  </li>
  <li>
   Monitoring and Enforcement: Establish monitoring mechanisms to ensure ongoing compliance with policies and regulations, and assist Head of Compliance to take necessary enforcement actions.
  </li>
  <li>
   Training and Education: Provide training and resources to employees on compliance matters, fostering a culture of awareness and ethical behavior.
  </li>
  <li>
   Oversee QA review processes, ensuring casework is accurate, complete, and aligned with internal standards, regulatory requirements, and AML best practices.
  </li>
  <li>
   Analyze data to identify process gaps and opportunities, and partner with Compliance Leaders.
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Requirements
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   5+ years of experience in compliance, AML/CTF, or regulatory roles within financial services, fintech, or virtual asset businesses, with a strong focus on KYC/KYB program ownership.
  </li>
  <li>
   In-depth understanding of UAE regulatory requirements, particularly the Virtual Assets Regulatory Authority (VARA) framework and broader UAE AML laws and Cabinet Decision No. (10) of 2019.
  </li>
  <li>
   Proven experience in mapping, documenting, and enhancing onboarding processes (KYC/KYB) for both individual and corporate clients in a regulated environment.
  </li>
  <li>
   Strong working knowledge of international AML/CTF standards (e.g., FATF), and their application in the context of virtual assets and VASPs (Virtual Asset Service Providers).
  </li>
  <li>
   Experience working with cross-functional teams including Legal, Product, Operations, and Engineering to embed compliance into scalable business processes.
  </li>
  <li>
   Ability to design and implement risk-based due diligence procedures, including customer risk rating models, enhanced due diligence (EDD), and ongoing monitoring.
  </li>
  <li>
   Prior involvement in regulatory engagements, inspections, or audits, ideally with VARA, the UAE Central Bank, or other local regulatory bodies.
  </li>
  <li>
   Strong analytical and problem-solving skills; comfortable handling complex regulatory interpretations and operationalizing them into clear procedures.
  </li>
  <li>
   Excellent communication skills (written and verbal) with the ability to engage confidently with internal stakeholders, regulators, and partners.
  </li>
  <li>
   Professional certifications such as CAMS, ICA, CRCMP, or equivalent are strongly preferred.
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Perks &amp; Benefits
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Competitive total compensation package
  </li>
  <li>
   L&amp;D programs and Education subsidy for employees' growth and development
  </li>
  <li>
   Various team building programs and company events
  </li>
  <li>
   Comprehensive healthcare schemes for employees and dependants
  </li>
  <li>
   More that we love to tell you along the process!
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 Notice
 <em>
  <strong>
   :
  </strong>
 </em>
 All official OKX vacancies are posted on this site. We are not affiliated with other third-party job boards except Linkedin.com, listings on other sites may be inaccurate or outdated. This is the only source of truth for applications.
 <br/>
 <br/>
 Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
 <br/>
 <br/>
</div>


Senior Compliance Analyst, Dubai

Franklin Templeton

<div><div>At Franklin Templeton, we&rsquo;re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that&rsquo;s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we offer opportunities not only to help you reach your potential but also to contribute to our clients&rsquo; achievements.</div><div></div><div>
Come join us in delivering better outcomes for our clients around the world!</div><div></div><div>
We are looking for a Senior Portfolio Compliance Analyst to join the Investment Compliance (IC) team based in Mumbai.</div><div></div><div>
The candidate will play a key role on the Investment Compliance (IC) team in Mumbai. This person will be responsible for monitoring Franklin Templeton&rsquo;s mutual funds and separate client accounts to ensure that all investment restrictions are always followed. These restrictions may come from regulatory requirements, fund documents, client guidelines, company policies, or prudent risk management practices. To ensure compliance, the analyst will review portfolio data daily and screen trades before they are executed, using specialized compliance tools and Franklin Templeton&rsquo;s internal systems.</div><div></div><div>
The Investment Compliance (IC) team offers comprehensive support to the Portfolio Management Groups, Trading Desks, and the Investment Risk team. This includes ensuring trade and compliance data is both accessible and accurate, as well as assisting with data resolution and system functionality. This role will serve as a key liaison between Investment Operations, Fund Accounting, Technology, and other support teams to ensure all transactions are completed accurately and on time. The candidate will also be the main point of contact for trading and portfolio management groups based in India.</div><div></div><div>
The Senior Analyst will be responsible for maintaining and enhancing monitoring systems and processes to help prevent the business from violating investment restrictions.</div><div></div><div><i>
What are the ongoing responsibilities of a Senior Portfolio Compliance Analyst?</i></div><div></div><div><i>
Duties / Responsibilities:</i></div><div></div><ul><li><div>
Pre-Trade Compliance - Collaborate with Traders and Portfolio Management teams to ensure prompt resolution of compliance alerts related to investment restrictions. Utilize automated compliance platforms, such as Quantis and Charles River, to proactively identify and address potential issues prior to trade execution.</div></li></ul><ul><li><div>
Post-Trade Compliance &ndash; Conduct timely review, analysis, and research of post-trade exceptions generated by the compliance system. Identifying and assessing potential compliance issues, facilitating effective resolution in accordance with regulatory standards.</div></li></ul><ul><li><div>
Account Compliance Monitoring - Oversee ongoing account compliance by tracking outstanding violations and ensuring the timely implementation of SEBI circulars. Escalate any potential non-compliance matters through established notification protocols to IC management and Investment Management groups, as appropriate.</div></li></ul><ul><li><div>
Information Request Management - Respond efficiently and accurately to information requests and inquiries from internal stakeholders and external parties, including regulators and auditors.</div></li></ul><ul><li><div>
Regulatory Reporting - Prepare certifications and reports for regulatory bodies, including SEBI, RBI, and the AMC Trustee Board, ensuring all documentation is accurate and compliant with relevant guidelines.</div></li></ul><ul><li><div>
Process and Control Evaluation - Evaluate existing controls and processes to optimize efficiency and minimize the risk of errors, supporting continuous improvement initiatives.</div></li></ul><ul><li><div>
Account Onboarding Implementation - Lead the implementation of new account onboarding processes, including the interpretation of investment guidelines, and the coding and testing of compliance rules within the compliance systems.</div></li></ul><ul><li><div>
Project and Ad-Hoc Initiative Participation - Participate in project-based initiatives and undertake additional ad-hoc requests as required by the team, contributing to organizational objectives and strategic goals.</div></li></ul><div></div><div><i>
What </i><i>ideal qualifications, skills &amp; experience would help someone to be successful?</i></div><div></div><div><i>
Education and Experience:</i></div><div></div><ul><li><div>
Minimum 3-5 years of Investment Management experience, with a focus on investment compliance or restriction monitoring.</div></li><li><div>
Bachelor&rsquo;s degree in Accounting, Finance, or Business Administration (MBA is a plus).</div></li><li><div>
Professional certifications such as CFA or FRM are highly desirable.</div></li><li><div>
Thorough knowledge of SEBI and AMFI regulations for Indian mutual funds, including fixed income, equities, and derivatives (options, futures, commodity, interest rate swaps, etc.).</div></li></ul><div></div><div><i>
Knowledge, Skills, and Abilities:</i></div><div></div><ul><li><div>
Experience with compliance systems such as Quantis, Charles River or Aladdin is a plus.</div></li><li><div>
Proficiency in MS Office and MS Project.</div></li><li><div>
Demonstrates strong written and verbal communication, and able to collaborate effectively across teams.</div></li><li><div>
Possesses strong analytical abilities and can resolve problems efficiently and accurately.</div></li><li><div>
Excellent time management, capable of handling multiple tasks under tight deadlines.</div></li><li><div>
Strong attention to detail and accuracy.</div></li><li><div>
Able to work independently with minimal supervision.</div></li></ul><div></div><div>
Work Shift Timings - 9:00 AM - 6:00 PM IST</div><div></div><div><div><div>
Experience our welcoming culture and reach your professional and personal potential!</div><div></div><div>
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there&rsquo;s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.</div><div></div><div><div>
Hear more from our employees</div></div></div><div><div><div><br>
<br>
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life&rsquo;s adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.</div><div></div><div><i>
Highlights of our benefits include:</i></div><ul><li><div>
Professional development growth opportunities through in-house classes and over 150 Web-based training courses</div></li><li><div>
An educational assistance program to financially help employees seeking continuing education</div></li><li><div>
Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee&rsquo;s dependents (spouses, children and dependent parents)</div></li><li><div>
Life insurance for protection of employees&rsquo; families</div></li><li><div>
Personal accident insurance for protection of employees and their families</div></li><li><div>
Personal loan assistance</div></li><li><div>
Employee Stock Investment Plan (ESIP)</div></li><li><div>
Annual recognition programme</div></li><li><div>
Volunteer services and paid time off for volunteering</div></li><li><div>
12 weeks Paternity leave</div></li><li><div>
Located in the heart of Mumbai in the One International Centre, with spectacular views of the buzzing city</div></li><li><div>
Walking distance of 100 meters from Western/Central railway station, accessible by road and local rail from all parts of the city</div></li></ul><div></div><div><div>
Learn more about the wide range of benefits we offer at Franklin Templeton</div></div><div></div><div>
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.<br>
<br>
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to <div>accommodations@franklintempleton.com</div>. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.</div></div></div></div></div><div></div>

Senior Portfolio Compliance Analyst

Epsilon

<div><b>Overview</b><br>
<b>About Business Unit:</b><br>
At the core of all that Epsilon does is a team that sets the foundation of our IT infrastructure. The team drives innovation and efficiency through pioneering technology across Epsilon's platforms and business verticals. From being the first point of contact for infrastructure needs to final deployment, the team provides end-to-end solutions for our client-facing platforms. ETS supports all aspects of revenue-generating platforms for Epsilon and sets the architectural direction for our enterprise deployments. By adopting the newest technologies, such as Cloud, Automation, and Artificial Intelligence, the team is at the front of redefining our digital business and capturing new opportunities.
<br>
<br>
<b>Software Compliance Analyst</b> role involves expertise in software licensing, compliance, and audit management. This role will ensure that the organization adheres to software licensing agreements, mitigates risks of non-compliance, and optimizes software asset management (SAM) practices. The analyst will work cross-functionally with IT, procurement, legal, and vendor management teams to develop and enforce software compliance policies.
<br>
<br>
Click here to view how Epsilon transforms marketing with 1 View, 1 Vision and 1 Voice.
<br>
<br>
<b>Responsibilities</b><br>
<ul><li>
Monitor and manage software licensing compliance across all business units.
</li><li>Conduct regular internal audits to ensure adherence to licensing agreements and legal requirements.
</li><li>Identify, assess, and mitigate risks related to software non-compliance.
</li><li>Collaborate with procurement and vendor management teams to review software contracts and renewals.
</li><li>Maintain an accurate software asset inventory, including entitlement records and deployment data.
</li><li>Respond to and manage external software audits and compliance inquiries from vendors.
</li><li>Develop and maintain software compliance policies, procedures, and standard processes.
</li><li>Provide guidance and training to stakeholders on software usage rights and compliance obligations.
</li><li>Analyze software usage data to identify opportunities for cost optimization and license reallocation.
</li><li>Keep abreast of changes in software licensing models, industry standards, and regulatory requirements.
</li></ul><br>
<b>Qualifications</b><br>
<ul><li>
Bachelor's degree in information technology, computer science, business, or a related field.
</li><li>Minimum of 5 years of experience in software compliance, software asset management, or software audit.
</li><li>Strong knowledge of major software licensing models (e.g., Microsoft, Oracle, Adobe, IBM).
</li><li>Experience managing software audits and working with software asset management tools (e.g., Flexera, ServiceNow, Snow Software).
</li><li>Excellent analytical, organizational, and problem-solving skills.
</li><li>Good interpersonal and communication skills to effectively liaise with internal teams and external vendors.
</li><li>Detail-oriented with the ability to manage multiple priorities and deadlines.
</li></ul><br>
<b>Additional Information</b><br>
Epsilon is a global data, technology and services company that powers the marketing and advertising ecosystem. For decades, we've provided marketers from the world's leading brands the data, technology and services they need to engage consumers with 1 View, 1 Vision and 1 Voice. 1 View of their universe of potential buyers. 1 Vision for engaging each individual. And 1 Voice to harmonize engagement across paid, owned and earned channels.
<br>
<br>
Epsilon's comprehensive portfolio of capabilities across our suite of digital media, messaging and loyalty solutions bridge the divide between marketing and advertising technology. We process 400+ billion consumer actions every single day using advanced AI and hold many patents of proprietary technology, including real-time modeling languages and consumer privacy advancements. Thanks to the work of every employee, Epsilon has been consistently recognized as industry-leading by Forrester, Adweek and the MRC. Epsilon is a global company with more than 9,000 employees around the world.
<br>
<br>
Epsilon has a core set of 5 values that define our culture and guide us to bring value for our clients, our people and consumers. We are seeking candidates that align with our values, demonstrate them and make them meaningful in their day-to-day work:<br>
<br>
<br>
<ul><li><b>Act with integrity</b>. We are transparent and have the courage to do the right thing.
</li><li><b>Work together to win together</b>. We believe collaboration is the catalyst that unlocks our full potential.
</li><li><b>Innovate with purpose</b>. We shape the market with big ideas that drive big outcomes.
</li><li><b>Respect all voices</b>. We embrace differences and foster a culture of connection and belonging.
</li><li><b>Empower with accountability</b>. We trust each other to own and deliver on common goals.
</li></ul><br>
<b>Because You Matter</b><br>
YOUniverse. A work-world with you at the heart of it!
<br>
At Epsilon, we believe people make the place. And everything we do is designed with you in mind. That's why our work-world, aptly named 'YOUniverse' is passionate about crafting a nurturing environment that elevates your growth, wellbeing and work-life harmony. So, come be part of a people-centric workspace where care for you is at the core of all we do.
<br>
<br>
Take a trip to YOUniverse and explore our outstanding benefits, here
<br>
<br>
<b>Epsilon is an Equal Opportunity Employer.</b>
<br>
Epsilon is committed to promoting diversity, inclusion, and equal employment opportunities by using reasonable efforts to attract, recruit, engage and retain qualified individuals of all ethnicities and backgrounds, including, but not limited to, women, people of color, LGBTQ individuals, people with disabilities and any other underrepresented groups, traits or characteristics.</div>

Senior Software Compliance Analyst

Montpellier Resourcing

<p><strong>Up to £35,000 plus excellent bonus and benefits</strong></p><p><strong>Hybrid working available </strong></p><p><strong>GRADUATE OPPORTUNITY</strong></p><p><strong>Are you a highly motivated and detail-oriented individual with a passion for regulatory compliance? We are actively recruiting a talented Regulatory Compliance Analyst to join a growing Financial Crime team at a prominent financial services firm.</strong></p><p>This is an exceptional opportunity for a recent graduate or early-career professional to launch their career in a crucial area of financial services, focusing on payments, electronic money regulations, and FCA/PRA obligations. You'll gain hands-on experience and receive mentorship from seasoned professionals.</p><p><strong>Duties of the Compliance Analyst to include:</strong></p><ul><li><strong>Regulatory Reporting:</strong> Preparing and submitting essential regulatory reports, returns, and notifications.</li><li><strong>Policy Management:</strong> Maintaining and updating internal policies and procedures to ensure they are accurate and reflect all regulatory changes.</li><li><strong>Project Support:</strong> Assisting with regulatory projects and ensuring new products and services meet all compliance requirements.</li><li><strong>Research & Documentation:</strong> Conducting research on regulatory obligations and compiling data to support the wider compliance team. You will also help ensure all documentation is ready for audits and inspections.</li></ul><p><strong>Requirements for the successful Compliance Analyst to include:</strong></p><ul><li>Graduate-level education in Finance, Business, Law, Economics, or a related discipline.</li><li>1-2 years of experience in financial services is desirable.</li><li>Strong analytical and organizational skills with a keen eye for detail. Excellent written and verbal communication abilities are a must.</li><li>A positive, can-do attitude and a genuine interest in compliance and financial crime prevention.</li></ul><p><strong>What's on offer for you:</strong></p><ul><li>A clear and defined career path into AML and financial crime risk management.</li><li>Hands-on training and mentorship from highly experienced compliance professionals.</li><li>Exposure to senior stakeholders and key regulatory frameworks.</li><li>Full support for professional certifications like ICA or ACAMS.</li><li>A competitive graduate-level salary and benefits package.</li><li>Hybrid working model: 3 days in the London office, 2 days remote.</li></ul><p></p><p>This vacancy is being advertised by Montpellier Resourcing Associates Limited. The services advertised by Montpellier Associates Resourcing Limited are those of an Employment Agency</p><p></p>

Compliance Analyst (Financial Services)

AML RightSource

<div><p><b>Job Description:</b></p><p><b>
About AML RightSource</b></p><p>
We are AML RightSource, the leading technology-enabled managed services firm focused on fighting financial crime for our clients and the world. Headquartered in Cleveland, Ohio, and operating across the globe, we are a trusted partner to our financial institution, FinTech, money service business, and corporate clients.</p><p></p><p>
Using a blend of highly trained anti-financial crime professionals, cutting-edge technology tools, and industry-leading consultants, we help clients with their AML/BSA, transaction monitoring, client onboarding (KYC), enhanced due diligence (EDD), and risk management needs.</p><p></p><p>
We support clients in meeting day-to-day compliance tasks, urgent projects, and strategic changes. Globally, our staff of more than 4,000 highly trained analysts and subject matter experts is the industry's largest group of full-time compliance professionals. Together with our clients, we are Reimagining Compliance.</p><p></p><p><b>
About the Position</b></p><p>
An Senior Analyst/ Analyst works with our clients (banks and non-bank financial institutions) to provide advice and counsel in order to help them fight financial crime and mitigate financial crime risks. The purpose of this role is to detect and investigate unusual financial activity by performing both quality control work related to the work of our Associate Analysts, and performing his/her own detailed monitoring of account activity and ensuring compliance with regulatory policies, operational policies, and/or reviewing client files for the purpose of performing Know your Customer (KYC) Procedures. In short, you are on the front-line of making decisions as to how to keep clients compliant with applicable law and regulations.</p><p></p><p>
An Senior Analyst/ Analyst, you research and analyze various sources of data and provide written summaries of recommendations and conclusions as it relates to the identification of suspicious or unusual financial activity and/or reviewing client files for the purpose of performing Know your Customer (KYC) Procedures.</p><p></p><p>
You may perform quality control activities, supervisory responsibility on occasion and be responsible for ad hoc communication with client. You will need to exercise discretion and judgment in the work, and you must be able to work efficiently and independently in a fast-paced, dynamic environment.</p><p></p><p><b>
Primary Responsibilities</b></p><ul><li><p>
Identify data anomalies and red flags for money laundering, terrorist financing, fraud, sanctions violations, and escalate for second level review.</p></li><li><p>
Verify the identity of clients to understand the nature and purpose of their relationship with the financial institution for the purposes of performing Know your Customer (KYC) Procedures, escalating where appropriate for second level review&middot; Ability to perform quality control work as needed.</p></li><li><p>
Assist with advanced tasks including communication with clients, analyzing production data and creating client specific aids and training.</p></li><li><p>
Independently assist analyst with workflow items and administrative tasks as they arise.</p></li><li><p>
Submit written work product for review by AMLRS and client-led quality control teams, make the requested adjustments as necessary, and apply the feedback going forward.</p></li><li><p>
Adhere to all designated timeframes and procedure to ensure on time and accurate completion of work.</p></li><li><p>
Work and contribute in a team-oriented and collaborative environment.</p></li><li><p>
Adhere to and comply with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money, as well as adhering to company policies and procedures and client requirements.</p></li></ul><p></p><p><b>
Required Qualifications</b></p><ul><li><p>
Bachelor&rsquo;s Degree with 1 to 7 years of relevant AML/BSA/KYC/TM/Crypto/CDD/EDD experience.</p></li><li><p>
Strong communication skills and ability to produce narrative and written summaries clearly synthesizing recommendations and conclusions.</p></li><li><p>
Strong analytical, problem solving and organizational skills.</p></li><li><p>
Proficient in Microsoft Excel, Microsoft PowerPoint &amp; Microsoft Word, with ability to learn new technologies quickly.</p></li><li><p>
Ability to multi-task, work independently and as part of a team, establishing cooperative and collaborative working relationships.</p></li></ul><p><b><br>
Preferred Qualifications</b><br>
<b>Professional Certification</b></p><ul><li><p>
Strong knowledge of banking industry and related regulations and laws.</p></li><li><p>
Strong entrepreneurial spirit, highly collaborative, able to express ideas readily, manage change fluidly, able to influence and identify opportunities for improvement.</p></li></ul><p><b><br>
Work Shift</b></p><ul><li>
Rotational Work shift with cab facilities both sides.</li></ul><p></p><h2 class="jobSectionHeader"><b><br>
AML RightSource is committed to fostering a diverse work environment and is proud to be an equal opportunity employer. We provide equal employment opportunities to all qualified applicants without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.
</b></h2><p></p><p><b>Recruitment Scam Alerts</b></p><p><b>
We&rsquo;re aware of an increase in recruitment scams where individuals falsely claim to represent AML RightSource. These scammers may ask for money or personal information by offering fake job opportunities through e-mail, text message or social media. Please verify the source of any job-related communications carefully. All official AML RightSource communications are conducted through &quot;@amlrightsource.com&quot; email addresses. If you encounter suspicious messages, do not respond.</b></p></div>

Financial Crime Compliance Analyst, Delhi NCR

Arham Wealth Management Pvt. Ltd.

<p><b>Compliance Executive</b></p><p><b>Job description</b></p><p><b>Role &amp; responsibilities</b></p><p>&middot; Develop, implement, and manage the company's Regulatory compliance requirements.</p><p>&middot; Monitor and analyze trading activities for any irregularities or compliance.</p><p>&middot; Conduct regular audits and risk assessments.</p><p>&middot; Implementation of all regulatory changes</p><p>&middot; Provide compliance training and support to employees.</p><p>&middot; Stay updated with regulatory changes and ensure company policies are updated accordingly.</p><p>&middot; Prepare and submit compliance reports to regulatory bodies.</p><p>&middot; Collaborate with internal and external stakeholders to address compliance issues.</p><p>&middot; Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.</p><p>&middot; Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.</p><p>&middot; Co-ordinate with Internal auditors, system auditors and various other audits.</p><p>&middot; Liasoning with product and sales team for getting empaneled with various fund houses, AMC's and AIF's for distribution of third party financial products</p><p><b>Qualifications: </b></p><p>Education: <b>CS/CA/LLB/MBA or candidates with compliance experience</b></p><ul><li>Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations &amp; Risk Management) are desirable.</li></ul><p>Experience: <b>3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.</b></p><ul><li>Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).</li></ul><p><b>Skills &amp; Competencies: </b></p><ul><li>Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.</li><li>Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.</li><li>Excellent communication skills &ndash; ability to interact effectively with trading desks, senior management, and regulators.</li><li>Proficiency in Excel, Word, and exposure to trading and surveillance systems.</li></ul><p>Job Type: Permanent</p><p>Pay: &#8377;50,000.00 - &#8377;100,000.00 per month</p><p>Benefits:</p><ul><li>Paid sick time</li><li>Provident Fund</li></ul><p>Work Location: In person</p>

Sr. Compliance Officer

IntouchCX

About IntouchCX
<br><br>
IntouchCX is a global leader in customer experience management, digital engagement, and AI and automation solutions. We immerse ourselves in your world with curiosity, creativity, and innovation to deliver exceptional results. For over 20 years, we have scaled with soul to become a disruptive industry leader by building trusted long-term relationships with our brand partners and empowering our people to drive positive change.
<br><br>
About the Job
<br><br>
The Compliance Analyst plays a critical role evaluating, reviewing and mitigating risks and ensuring organizational practices are in-line with client contractual requirements, external regulations, as well as internal policies and procedures.
<br><br>
As Compliance Analyst, You Will…
<br><br>
<ul>
<li>Be responsible for reviewing regulation and legislation changes affecting the company and partnering with operational stakeholders to develop mitigation strategies (i.e GDPR, TCPA etc.)</li>
<li>Identify, evaluate, and develop plans for mitigation on necessary compliance requirements</li>
<li>Be responsible for completing audits and monitoring adherence as required on both internal and external policies and legislation in a timely manner</li>
<li>Work with multiple departments globally to identify, assess and mitigate operational risks as business needs change</li>
<li>Provide insight and recommendations for process</li>
</ul>
improvements that are identified during compliance reviews
<br><ul>
<li>Prepare reports by collecting, analyzing, and summarizing information</li>
<li>Assist external auditors with required documentation as needed</li>
<li>Research regulations across various geographies, ensuring organization is apprised, and up-to-date on potential risks, and compliance</li>
<li>Ensure other departments are kept informed of changing legislative requirements that affect operations and/or risk identification</li>
<li>Maintain professional and technical knowledge by attending educational workshops and establishing personal networks</li>
<li>Provide support for other compliance projects as needed</li>
</ul>
As Compliance Analyst, You Have…
<br><br>
<ul>
<li>3 years experience in an audit or compliance function</li>
<li>Strong communication skills to effectively interact with diverse groups of people</li>
<li>Advanced written abilities in order to write required reports</li>
<li>Strong analytical, critical thinking and problem solving skills</li>
<li>Ability to research and source information for review</li>
<li>Superior attention to detail</li>
<li>Excellent time and project management skills</li>
<li>Ability to work in a fast paced and time sensitive environment</li>
<li>Adaptable to change and innovation</li>
</ul>


Compliance Analyst

Search 10000+ Senior compliance analyst jobs near you this November. New roles added regularly across leading industries. Apply today.