Company Overview

Incedo is a US-based consulting, data science and technology services firm with over 3000 people helping clients
from our six offices across US, Mexico and India. We help our clients achieve competitive advantage through
end-to-end digital transformation. Our uniqueness lies in bringing together robust engineering, data science, and
design capabilities coupled with deep domain understanding. We combine services and products to maximize
business impact for our clients in telecom, Banking, Wealth Management, product engineering and life science
& healthcare industries.
Working at Incedo will provide you an opportunity to work with industry leading client organizations, deep
technology and domain experts, and global teams. Incedo University, our learning platform, provides ample
learning opportunities starting with a structured onboarding program and carrying throughout various stages of
your career. A variety of fun activities is also an integral part of our friendly work environment. Our flexible
career paths allow you to grow into a program manager, a technical architect or a domain expert based on your
skills and interests.
Our Mission is to enable our clients to maximize business impact from technology by

- Harnessing the transformational impact of emerging technologies
- Bridging the gap between business and technology

Role Description

Responsibilities

- Oversee the licensing and registration of associated persons, ensuring compliance with state and federal requirements.
- Monitor changes in regulatory requirements and implement necessary updates to policies and procedures.
- Monitor transactions for suspicious activity and file Suspicious Activity Reports (SARs) as required.




- Conduct a review of customer file to check for accuracy, completeness, and ensuring all supporting documentation is uploaded
- Liaising with the Middle Office Line of Business for any exceptions and exemptions
- Initiate and coordinate client outreach for fetching client documentations and any additional information
- Assess client legal hierarchy and the 'Know Your Client' (KYC) documentation required as per policy
- Oversee the collection and maintenance of client information to ensure suitability and compliance with KYC requirements.
- Maintain accurate and complete records of all transactions, communications, and client information in compliance with SEC Rule 17a-3 and 17a-4
- Monitor trade activities to identify and address potential compliance risks through Checks and securities blotters reports
- Ensure compliance with net capital requirements and customer protection rules (SEC Rule 15c3-3).
- Coordinate with auditors and regulators during financial and compliance audits.
- Email correspondence review, to scrub out false positives and identify the actionable by compliance team
- Identify, recommend and implement process efficiencies.

Technical Skills

- Excellent analytical and problem solving skills
- Strong attention to detail and organizational abilities.
- Effective communication and interpersonal skills
- Ability to work independently and collaboratively in a fast paced environment

Nice-to-have skills

Qualifications

Post Graduate with Finance, Law, or related fields

Company Value

We value diversity at Incedo. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

📌 Associate (Gurugram)
🏢 Incedo
📍 Gurugram