Responsibilities

- Monitor compliance activities associated with code of ethics and employee trading policies. Participate in Regulatory compliance related activities like AML, Email surveillance and Marketing Review along with training.

- Monitoring electronic communication for regulated users based on defined policy. Conducting audio review of reported calls and review of Advertising and Bloomberg data. Research and coding of Fraud alerts and writing and communicating guidelines to keep other departments aware of requirements.

- Conducting Marketing review and managing regulatory compliance Code of Ethics activities via ACA application.

- Support Legal and Compliance staff members in the development and maintenance of policies, procedures and controls designed to mitigate Corporate risk. Enhance understanding of PFG stakeholders/clients' needs through self-initiated research and involvement in on-going investment activities.

- Identify regulatory/policy gaps, and their root causes, and work with business units to correct deficiencies.

- Assist in screening and monitoring of Bridger alerts on a daily, bi-weekly and monthly basis.

- Handle more complex day-to-day compliance inquiries from internal customers.

- Perform other job-related duties or special projects as required and oversight of total deliverables .

Qualifications

Education: Bachelor’s degree with emphasis in finance, accounting or other business related field required. MBA (Finance) preferred.

Experience 0.5 - 2 years Investment advisor or experience working in financial services. Must have problem solving ability and good technical knowledge. Knowledge of the compliance and regulatory environment, including SEC, CFTC, NFA, FINRA and other US federal, state and global regulations would be advantageous.



This position is subject to SEC restrictions on personal investments and political contributions.

Additional Information

Skill

Strong attention to detail

Able to read and interpret request, apply correct rules, accurately process data inputs

Able to consistently do repetitive work

Consistently able to meet timing requirements and maintain SLA

Consistently produce work with high degree of accuracy

Good comprehension skills, analytical skills, valuable typing skills, detail-oriented, multitasking, ability to prioritize, time management skills, good written & verbal communication skills, experience in navigating the internet. Ability to work on different applications.

Knowledge of, or ability to obtain knowledge of, financial services and investment related terminology.

Must demonstrate possession of analytical, problem solving, interpersonal, time management and communication skills. Must be detailed oriented.

Research, perform due diligence, and help implement emerging technologies when appropriate.

Success in this position requires a client service orientation, the ability to work under pressure in a deadline driven, team-based environment and the ability to produce accurate and timely information. Must be able to handle multiple tasks, prioritize effectively and be flexible as business needs change.

Requirements (Compliance):

Provide prompt, courteous and excellent service at an acceptable cost to all customers, operate in an ethical manner in accordance with State and Federal law, the company's Corporate Code of Ethics, Affirmative Action, Diversity, employee handbook, applicable compliance and operations policies and procedures and other policies of the company.

Possess a high degree of integrity and actively cooperate and interact with all entities of the Principal Financial Group

Dimensions:

Open to work in multiple shifts

📌 Trainee Analyst - Legal and Compliance (Hyderabad)
🏢 Principal Global Services
📍 Hyderabad