Job
Description
First Citizens Global Services India LLP, a part of First Citizens BancShares, Inc., a prominent U.S. financial institution, operates as a global capability center (GCC) situated in Bengaluru. Drawing from the company's rich 125-year legacy of strength and stability, First Citizens India is dedicated to delivering value and managing risks across various business lines. The organization prides itself on fostering a robust, relationship-oriented culture and a long-term perspective that is deeply rooted in its talented workforce. This commitment is evident in key operational areas such as Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. As we continue our mission of providing tailored solutions for our clients" aspirations, we are actively seeking skilled individuals to join our team. Value Preposition Contribute to fostering a culture of compliance where ethics and integrity form an integral part of our daily operations. Job Details - **Position Title:** Advisor - Compliance - **Career Level:** P1 - **Job Category:** Associate - **Role Type:** Hybrid - **Job Location:** Bangalore About The Team The Corporate Compliance team plays a crucial role in identifying, measuring, monitoring, and controlling regulatory compliance risks across all business units and enterprise-wide functions. Impact We are in search of a detail-oriented and highly motivated individual to serve as a valuable contributor in reviewing electronic communications identified through First Citizens" electronic communication surveillance platform. This role involves reviewing communications flagged for potential violations based on regulatory regulations and company policies, as well as conducting random sampling reviews. The position primarily focuses on ensuring compliance of electronic communications within our broker-dealer, investment adviser, and asset management functions with regulatory requirements and company policies. The ideal candidate will possess expertise in monitoring electronic communications for regulatory violations, implementing policies and procedures effectively, escalating issues accordingly, and suggesting improvements to enhance the e-surveillance program. Key Deliverables - Review electronic communications across various channels to identify potential violations of FINRA and SEC regulations. - Investigate flagged communications promptly and ensure timely escalation of potential violations. - Assess communications for potential escalation following established protocols. - Collaborate with team members to address identified issues and resolve escalated matters. - Stay informed about relevant FINRA and SEC regulations, and company policies related to communication monitoring. - Document findings accurately and comprehensively, and communicate them clearly to internal stakeholders. - Support audits and regulatory inquiries by providing necessary documentation and insights. Functional Skills **Skills and Qualification:** - Strong organizational, attention to detail, and communication skills. - Ability to work independently or collaboratively, meet deadlines, and adapt to changing priorities. - Capability to identify process improvements and potential risks, and provide constructive feedback. - Proficiency in Microsoft Office tools. **Technical/Business Skills:** - Previous Compliance experience, particularly in a broker-dealer, investment adviser, or asset management firm. - Sound knowledge of FINRA and SEC regulations related to public communications, marketing, advertising, and complaints reporting. - Ability to analyze electronic communications, differentiate issues, and leverage problem-solving skills. - Familiarity with the Global Relay surveillance platform is advantageous. Accessibility Needs We are dedicated to ensuring an inclusive and accessible hiring process. If you require accommodations at any stage of the process (e.g., application, interviews, onboarding), please inform us, and we will collaborate with you to facilitate a seamless experience. Equal Employment Opportunity,
