6 Sec Regulations Jobs

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,

Essential Responsibilities: Prepare SEC reporting documents (10-Q, 10-K, 8-K) including XBRL tagging in partnership with the external service provider Prepare footnote support schedules, tie-out support for SEC filings and disclosure checklists Assist with research and preparation of technical accounting memos Collaborate with the general accounting team to prepare corporate financial reporting for internal analysis and external SEC filings Collaborate with the legal team to ensure compliance with SEC regulations Work closely with external auditors to manage the financial quarterly review and annual audit process Provide financial analysis including explanations of variances between actual and budget/prior period Ensure internal controls over financial reporting, including disclosure controls and procedures, are adequate and operating effectively Participate in monthly/quarterly financial close review meetings to ensure appropriate accounting of transactions and accurate external reporting Participate in special projects and ad hoc requests as needed Qualifications: 0-2 years with SEC reporting experience preferred Strong knowledge of US GAAP and SEC reporting requirements Software industry experience preferred Ability to work closely with management Commitment to all reporting and audit deadlines Exceptional organizational skills, project management experience to include management of large- scale/global initiatives Certifications: CA CPA preferred

You will be responsible for overseeing real-time liquidity and cash flow management, optimizing fund allocation and capital utilization. Your role will involve ensuring compliance with SEC, FINRA, and global BPO financial regulations to mitigate financial and operational risks. Additionally, you will supervise treasury operations related to outsourced financial services, ensuring SLA-driven financial workflows. In this role, you will support investment planning, risk assessment, and financial decision-making in a fast-paced Fintech-BPO environment. You will collaborate with finance, compliance, and operations teams to align treasury strategies with business goals, contributing to the overall success of the organization. This is a full-time, permanent position with benefits including health insurance and Provident Fund. The schedule for this role is a night shift. As part of the application process, you will be asked if you are currently working or have worked in a Treasury department. The work location for this position is in person.,

Yext is the leading digital presence platform for multi-location brands, with thousands of customers worldwide. With one central platform, brands can seamlessly deliver consistent, accurate, and engaging experiences and meaningfully connect with customers anywhere in the digital world. Our AI and machine learning technology powers the knowledge behind every customer engagement, which is only possible through our team of innovators and enthusiastic collaborators. Join us and experience firsthand why we are consistently recognized as a "Best Place to Work" globally by industry leaders such as Built In, Fortune, and Great Place To Work! We are looking for a highly skilled Accounting Manager to join our growing and dynamic accounting team. In this role, you will be responsible for overseeing the monthly close process, analytical and financial metrics, team management & development, and process improvements to enhance efficiency and strengthen the overall control environment. Reporting directly to the Senior Manager, Accounting based in the U.S., you will lead a team of three and serve as the India Accounting Team Lead. Key responsibilities include managing aspects of the close process, such as cash, prepaids, fixed assets, publishers, and capitalizable software, while driving process improvements and automation initiatives. The ideal candidate should be eager to go beyond traditional accounting responsibilities and demonstrate strong management, communication, and problem-solving skills. You should have the ability to adapt to a fast-changing environment and possess a collaborative mindset to drive the company's growth and scalability. Your responsibilities will include assisting in managing the month-end close and reporting process for Accounting, managing day-to-day accounting operations related to the close process, developing and mentoring a high-performing team, researching and implementing new accounting policies and procedures, reviewing accounting transactions for accuracy and compliance with GAAP and SEC regulations, summarizing complex transactions for senior leadership, leading and participating in process improvement initiatives, collaborating cross-functionally to provide financial insights, managing external auditors, supporting strategic company projects, and communicating and executing team vision and strategy. The ideal candidate should have a BA/BS degree in Accounting or a related field, be a Chartered Accountant or equivalent professional designation, have 8+ years of accounting experience (preferably with Big 4 background or Big 4/private mix & working in US Public Company), possess advanced Microsoft Excel skills, exhibit strong leadership experience, be detail-oriented and process-driven, have strong analytical skills, be able to work well under pressure, have experience in finance/business process improvement initiatives, and be proficient in systems such as NetSuite, Coupa, Workday, Blackline, Floqast, and Tableau or equivalent systems. At Yext, we offer a wide range of benefits and perks to ensure our employees are at their best, including performance-based compensation, a comprehensive leave package, health & wellness offerings, relocation benefits, and a world-class office with top-notch amenities. Join us in our mission to transform the enterprise with AI search and be a part of our global team of innovators and collaborative thought leaders.,

Job Description: 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. 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: Senior Manager - Compliance Career Level: L2 Job Category: Assistant Vice President 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 manager 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 the 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. Successful candidates will also assist with drafting and maintaining procedures, providing reporting on review rate for the team and volume/backlog, coaching and upskill training for reviewers, providing QA for electronic communication reviews, and analyzing lexicons for refinement. Key Deliverables: - Can execute all tasks associated with the reviewer role and execute the additional responsibilities listed below. - Provide guidance and oversight for reviewers by addressing inquiries, providing coaching and feedback, and problem-solving as issues arise. - Conduct QA activities for communications that have been reviewed and communications that have been escalated ensuring accuracy and correct disposition. - Support the onboarding of new reviewers including identifying associates skilled to work, systems access, training, enhanced supervision of work product, and liaising with Compliance and Technology through onboarding completion. - Provide backup support for reviewers during seasons of higher review volume, point in time needs or projects, and/or when a backfill is required. - Timely review and update of procedures, tracking documents, and various other documentation. Skills And Qualifications: 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. - Knowledge of regulatory changes, enforcement actions, and the regulatory landscape as it pertains to e-surveillance. - 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 make independent judgment and use informed discretion when dispositioning communications as an issue or non-issue. - Proficiency with Global Relay surveillance platform is a plus. Leadership Qualities: - Strong leadership skills including coaching and guiding the team, providing performance feedback, leading the team through periods of change and transition, and the ability to build strong relationships within the team. - Ability to work independently with minimal oversight, execute against priorities in a timely manner, and adapt to priority shifts. Relationships & Collaboration: - Ability to build and maintain strong working relationships with business partners through strong communication and a proactive approach to problem-solving and identifying risks. 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,

The Financial Reporting responsibilities will include, but not be limited to preparation of all SEC filings on Form 8-K, 10-Q and 10-K, proxy statement, Section 16 filings, XBRL compliance, and any other filings as deemed necessary. In addition, this position will be involved in reviewing, assessing, and documenting new accounting standards; writing technical accounting memos; assisting in implementation of new accounting standards, including providing requests to auditors as requested. This position will also assist with any accounting and financial reporting matters associated with future acquisitions or divestitures, including the necessary purchase accounting. The position will provide auditor assistance with quarterly reviews and annual audits. Essential Responsibilities: Prepare SEC reporting documents (10-Q, 10-K, 8-K) including XBRL tagging in partnership with the external service provider Prepare footnote support schedules, tie-out support for SEC filings and disclosure checklists Assist with research and preparation of technical accounting memos Collaborate with the general accounting team to prepare corporate financial reporting for internal analysis and external SEC filings Collaborate with the legal team to ensure compliance with SEC regulations Work closely with external auditors to manage the financial quarterly review and annual audit process Provide financial analysis including explanations of variances between actual and budget/prior period Ensure internal controls over financial reporting, including disclosure controls and procedures, are adequate and operating effectively Participate in monthly/quarterly financial close review meetings to ensure appropriate accounting of transactions and accurate external reporting Participate in special projects and ad hoc requests as needed Qualifications: 0-2 years with SEC reporting experience preferred Strong knowledge of US GAAP and SEC reporting requirements Software industry experience preferred Ability to work closely with management Commitment to all reporting and audit deadlines Exceptional organizational skills, project management experience to include management of large- scale/global initiatives Certifications: CA CPA preferred