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 workplace, 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.

Skill

Additional Information

Strong attention to detail

Able to read and interpret request, apply correct rules, a

📌 Trainee Analyst (Hyderabad)
🏢 Principal Financial Group
📍 Hyderabad