AML Regulatory Compliance Analyst - Hyderabad
AML Regulatory Compliance Analyst - Hyderabad
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Job Description
About the Client :
A Fortune 500 global leader in technology services and digital business solutions this company delivers comprehensive Business Process Services (BPS) and IT-enabled solutions. With a worldwide presence it serves diverse industries including banking healthcare retail manufacturing and communications. The firms expertise spans a broad spectrum of critical processes from finance and accounting to human resources customer service and supply chain management - enabling clients to enhance efficiency drive innovation and achieve business agility on a massive scale.
Position : Subject Matter Expert(SME)
Shift : US Shift 5 days Cab will be provided
CTC : Upto 6.75 LPA
Location: Hyderabad WFO
Reporting To: Operations Leader / Compliance Lead
Employment Type: Full-time
Role Summary:
The Regulatory Compliance Analyst will be responsible for supporting compliance obligations across various regulatory domains including SEC FINRA AML/OFAC and insurance-related regulations. This role ensures timely and accurate reporting supports audits and exams and contributes to maintaining a compliant and risk-aware operational environment.
Key Responsibilities:
Regulatory Oversight & Reporting
- Prepare and deliver compliance and regulatory reports (e.g. market conduct exams subpoenas data extracts).
- Support internal and external audits including Early Warning Reports and TEFRA-related documentation.
- Maintain and update compliance-related SOPs and documentation.
Fraud & AML/OFAC Monitoring
- Conduct fraud investigations using tools like GIACT.
- Monitor and report suspicious activities in alignment with AML/OFAC guidelines.
- Collaborate with SMEs for escalations and legal signoffs.
Complaints & Escalations
- Track and report customer complaints and escalated matters.
Licensure
- Obtain and maintain appropriate licensure if required to support broker/dealer or securities-related services (e.g. FINRA Series 6).
Documentation & Governance
- Contribute to the development and maintenance of the Policies and Procedures Manual.
- Participate in governance meetings and provide compliance input as needed.
- Support the Service Provider s reporting obligations.
Qualifications:
- Bachelor s degree in law.
- 3 years of experience in regulatory compliance preferably in insurance or financial services.
- Familiarity with SEC Rule 38a-1 Investment Company Act FINRA Series 6/7 requirements.
- Experience with AML/OFAC compliance and fraud detection tools.
- Strong analytical documentation and communication skills.
- Based on the job description in JD Regulatory Compliance Analyst here s a tailored list of competencies for the Regulatory Compliance Analyst role. These competencies are grouped into functional technical and behavioral categories to align with the responsibilities and qualifications outlined in the JD:
Functional Competencies:
- Regulatory Reporting & Documentation
o Ability to prepare and deliver compliance reports (e.g. market conduct exams subpoenas TEFRA documentation).
o Skilled in maintaining and updating SOPs and compliance documentation.
- Audit & Examination Support
o Proficient in supporting internal and external audits including Early Warning Reports.
o Familiarity with regulatory frameworks such as SEC FINRA and insurance-related standards.
- Fraud & AML/OFAC Monitoring
o Competence in conducting fraud investigations using tools like GIACT.
o Ability to monitor and escalate suspicious activities in line with AML/OFAC guidelines.
- Complaint & Escalation Management - Experience in tracking documenting and resolving customer complaints and escalations.
- Licensure & Regulatory Adherence - Understanding of licensure requirements (e.g. FINRA Series 6) and ability to maintain compliance.
- Governance Participation - Ability to contribute to policy development and participate in governance meetings.
Technical Competencies
- Regulatory Knowledge - Familiarity with SEC Rule 38a-1 Investment Company Act and FINRA Series 6/7 -depth knowledge of annuities and annuity regulations.
- Compliance Tools - Experience with fraud detection and compliance monitoring tools (e.g. GIACT).
- Documentation & Reporting Systems - Proficiency in managing compliance documentation and reporting systems.
Behavioral Competencies
- Analytical Thinking - Strong ability to analyze regulatory data and identify compliance risks.
- Communication - Clear and effective communication skills for reporting documentation and stakeholder interaction.
- Attention to Detail: High level of accuracy in preparing reports and maintaining compliance records.
- Collaboration: Ability to work with SMEs legal teams and cross-functional stakeholders.
- Adaptability: Comfortable working in a hybrid model and adjusting to evolving regulatory requirements.
Certifications (Preferred):
- FINRA Series 6 or 7
- AML Certification
- Compliance-related training certifications
About the Client : A Fortune 500 global leader in technology services and digital business solutions, this company delivers comprehensive Business Process Services (BPS) and IT-enabled solutions. With a worldwide presence, it serves diverse industries including banking, healthcare, retail, manufacturing, and communications. The firm's expertise spans a broad spectrum of critical processes from finance and accounting to human resources, customer service, and supply chain management - enabling clients to enhance efficiency, drive innovation, and achieve business agility on a massive scale. Job Title: Regulatory Compliance Analyst Position : Subject Matter Expert(SME) Shift : US Shift | 5 days | Cab will be provided Location: Hyderabad, WFO Reporting To: Operations Leader / Compliance Lead Employment Type: Full-time Role Summary: The Regulatory Compliance Analyst will be responsible for supporting compliance obligations across various regulatory domains including SEC, FINRA, AML/OFAC, and insurance-related regulations. This role ensures timely and accurate reporting, supports audits and exams, and contributes to maintaining a compliant and risk-aware operational environment. Key Responsibilities: Regulatory Oversight & Reporting Prepare and deliver compliance and regulatory reports (e.g., market conduct exams, subpoenas, data extracts). Support internal and external audits, including Early Warning Reports and TEFRA-related documentation. Maintain and update compliance-related SOPs and documentation. Fraud & AML/OFAC Monitoring Conduct fraud investigations using tools like GIACT. Monitor and report suspicious activities in alignment with AML/OFAC guidelines. Collaborate with SMEs for escalations and legal signoffs. Complaints & Escalations Track and report customer complaints and escalated matters. Licensure Obtain and maintain appropriate licensure if required to support broker/dealer or securities-related services (e.g., FINRA Series 6). Documentation & Governance Contribute to the development and maintenance of the Policies and Procedures Manual. Participate in governance meetings and provide compliance input as needed. Support the Service Provider s reporting obligations. Qualifications: Bachelor s degree in law. 3+ years of experience in regulatory compliance, preferably in insurance or financial services. Familiarity with SEC Rule 38a-1, Investment Company Act, FINRA Series 6/7 requirements. Experience with AML/OFAC compliance and fraud detection tools. Strong analytical, documentation, and communication skills. Based on the job description in JD Regulatory Compliance Analyst , here s a tailored list of competencies for the Regulatory Compliance Analyst role. These competencies are grouped into functional, technical, and behavioral categories to align with the responsibilities and qualifications outlined in the JD: Functional Competencies: Regulatory Reporting & Documentation o Ability to prepare and deliver compliance reports (e.g., market conduct exams, subpoenas, TEFRA documentation). o Skilled in maintaining and updating SOPs and compliance documentation. Audit & Examination Support o Proficient in supporting internal and external audits, including Early Warning Reports. o Familiarity with regulatory frameworks such as SEC, FINRA, and insurance-related standards. Fraud & AML/OFAC Monitoring o Competence in conducting fraud investigations using tools like GIACT. o Ability to monitor and escalate suspicious activities in line with AML/OFAC guidelines. Complaint & Escalation Management - Experience in tracking, documenting, and resolving customer complaints and escalations. Licensure & Regulatory Adherence - Understanding of licensure requirements (e.g., FINRA Series 6) and ability to maintain compliance. Governance Participation - Ability to contribute to policy development and participate in governance meetings. Technical Competencies Regulatory Knowledge - Familiarity with SEC Rule 38a-1, Investment Company Act, and FINRA Series 6/7 -depth knowledge of annuities and annuity regulations. Compliance Tools - Experience with fraud detection and compliance monitoring tools (e.g., GIACT). Documentation & Reporting Systems - Proficiency in managing compliance documentation and reporting systems. Behavioral Competencies Analytical Thinking - Strong ability to analyze regulatory data and identify compliance risks. Communication - Clear and effective communication skills for reporting, documentation, and stakeholder interaction. Attention to Detail: High level of accuracy in preparing reports and maintaining compliance records. Collaboration: Ability to work with SMEs, legal teams, and cross-functional stakeholders. Adaptability: Comfortable working in a hybrid model and adjusting to evolving regulatory requirements. Certifications (Preferred): FINRA Series 6 or 7 A
Education
Any graduate or post graduate
Employment Type
Full Time
