Compliance Analyst

2 - 7 Years

Job Description

  Job Description:

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
  • 2 to 6 years of relevant experience
  • Graduate degree 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

Salary: Not Disclosed by Recruiter

Industry:Banking / Financial Services / Broking

Functional Area:Financial Services, Banking, Investments, Insurance

Role Category:Mutual Funds/Fund Management/Asset Management



Desired Candidate Profile

Please refer to the Job description above

Company Profile

Symphoni HR Private Limited

A leading executive search firm
View Contact Details+

Recruiter Name:Ishani Dethe

Contact Company:Symphoni HR Private Limited