Compliance Analyst - Field Office Inspection
HybridNoida, Uttar Pradesh, India
Job Summary
Coordinate Field Office Inspection exam announcements and scheduling, then execute post-inspection processes including issuing reports and managing books and records tasks. Gather data from multiple reports for business and reporting purposes while conducting RiverSource, Columbia, and Field Non-branch inspections. Partner with leadership and examiners to clarify policies, escalate issues, and ensure consistency within predefined SLAs. Identify process improvement opportunities and implement effective solutions while maintaining current knowledge of industry practices and regulatory rules. Manage multiple priorities and work collaboratively with diverse business partners to deliver on department-wide initiatives.
Required Qualifications
- Bachelor's degree or equivalent
- Demonstrates strong communication skills, both written and verbal
- Excellent organization skills, ability to manage multiple priorities, and meet time sensitive deadlines
- Ability to identify risks and formulate potential solutions
- Proven track record of completing tasks accurately, with strong attention to detail
- Must be able to work in the office at least three (3) days per week
- Must be able to work from home two (2) days per week
Desired Qualifications
- Experience in an audit function
- Familiarity with audit methodologies
- Knowledge of FINRA, SEC and other regulatory rules/requirements
- Knowledge of risks pertinent to industry and firm
- Knowledge of MS Office applications like Word, Power Point, Excel
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