AML Regulatory Compliance Analyst - Hyderabad
- Hyderabad, Telangana
- Permanent
- Full-time
Shift : US Shift | 5 days | Cab will be providedCTC : Upto 6.75 LPALocation: Hyderabad, WFO
Reporting To: Operations Leader / Compliance Lead
Employment Type: Full-timeRole 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.
- 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.
- Track and report customer complaints and escalated matters.
- Obtain and maintain appropriate licensure if required to support broker/dealer or securities-related services (e.g., FINRA Series 6).
- 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.
- 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
- Regulatory Reporting & Documentation
- Audit & Examination Support
- Fraud & AML/OFAC Monitoring
- 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.
- Regulatory Knowledge - Familiarity with SEC Rule 38a-1, Investment Company Act, and FINRA Series 6/7 requirements. In-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.
- 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.
- FINRA Series 6 or 7
- AML Certification
- Compliance-related training certifications