EY Financial Crime Compliance - Senior Broker-Dealer 

India, West Bengal, Kolkata 

661101050

Our Financial Crime Consulting team requires specialization in following competencies:

• Knowledge of FINRA, SEC, and other relevant US rules and regulations.
• Processes related to US Broker-Dealers or Registered Investment Advisors.
• E-mail surveillance and annuities supervision
• Monitoring of outside business affiliations, registrations, and review of marketing materials.
• Reporting and Documentation
• Regulatory compliance
• Wealth and asset management
• Risk Assessment

KEY ROLES & RESPONSIBILTIES:

• You will be playing a critical role in supporting our clients in ensuring compliance with laws and regulations aimed at preventing money laundering and terrorist financing.
• Ensures that every case is investigated with a very high focus on quality.
• Responsible for quality check, assisting the manager and ensuring smooth delivery of work.

Educational Qualification

• Strong academic background, including a master’s degree in finance, Economics, Accounting, Commerce, or a related field

Knowledge/Skills & Attributes

• Knowledge of FINRA, SEC, and other relevant US rules and regulations.
• Understand principles and processes related to the governance and oversight of operations for US Broker-Dealers or Registered Investment Advisors.
• Assist clients in operations related to supervisory functions, including but not limited to e-mail surveillance, annuities supervision, monitoring of outside business affiliations, registrations, and review of marketing materials.
• Aid in the training and development of team members on regulatory requirements, product knowledge, and advisory best practices.
• Engage with internal and external stakeholders to ensure a cohesive approach to wealth management solutions.
• In-depth knowledge in AML compliance performing Sanctions screening, payment screening, correspondent banking and regulatory reporting.
• High level of attention to detail and accuracy in reviewing data and completing tasks.
• Good communication skills, including responsiveness and commitment to quality are one of your strong sides.
• Must be a strong team player who has a good understanding of prioritizing tasks in a fast-paced environment.
• Will be able to work to tight deadlines and manage own workflow/priorities accordingly.
• Proactive, with a focus on continuous learning and staying up to date with the latest compliance and sanctions-related developments.
• PC Proficiency, including MS Office applications.
  

Work Experience

• 4-7 years of relevant experience in the wealth and asset management sector, specifically with broker-dealers or registered investment advisors.

Certification Requirements

• Professional certification (CAMS, CFE, ICA, CCI or equivalent) will be a good addition.

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