512 Finra Analyst jobs in India
FINRA Analyst
Job Viewed
Job Description
About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
The Opportunity:
This position works with relationship managers, account owners, and engagement leads
to provide regulatory consulting services to broker dealers and other firms in the investment industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.
What you’ll do:
- Work with clients to prepare accounting entries in compliance with FINRA requirements.
- Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables as required by FINRA rules and client specifications.
- Research novel or complex compliance issues.
- Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
- Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.
Ideally, you will also have:
- Major or concentration in business, accounting, finance, and/or economics preferred.
- Bachelor’s degree.
Skills and attributes for success:
- Background in accounting required. Must have experience in an accounting role.
- Demonstrated professional integrity.
- Strong spoken and written English communication skills
- Background or experience in accounting
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments on matters of significance.
- Ability to work in a fast-paced small team environment.
- Ability to establish and maintain effective working relationships with colleagues and consulting staff.
- Highly motivated and goal oriented; pro-active in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
- Dedicated to upholding ACA’s high-quality standards and customer service focus.
- Strong organizational and problem-solving skills with attention to detail.
- Strong oral and written communication skills.
- Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.
What working at ACA offers:
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical coverage fully funded by ACA for employees and their family as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs and Employee Resource Groups. You’ll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial and emotional well-being.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected status.
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Risk Management
Posted 14 days ago
Job Viewed
Job Description
Department: Risk Management
Job Summary:
The Risk Manager will be instrumental in developing, implementing, and overseeing a robust risk management framework specifically for wealth management operations, including OBPP operations, mutual fund & insurance distribution activities. This role requires a deep understanding of nuanced operational, technological, and regulatory risks associated with digital platforms.
Key Responsibilities:
- Risk governance
- Design and implement the risk framework for the wealth platform
- Ensure compliance with SEBI and other regulatory requirements applicable to OBPPs, stock brokers, distributors etc.
- Platform and product risk management
- Identify, assess, and mitigate risks specific to OBPP and distribution operations.
- Set up and implement risk controls for digital operations, including order placement, settlements, payment processing etc.
- Analyze risks related to suitability and appropriateness of products, mis-selling, scheme-specific risks.
- Operational risk management of Altifi platform
- Assess and mitigate operational risks in the platform.
- Build and maintain SOPs for all processes; develop and monitor KRI dashboards
- Risk reporting
- Comprehensive reporting of risk metrics, mitigation measures to all relevant stakeholders
Qualifications:
- Education: MBA or equivalent post-graduation degree with specialisation in finance, risk management, business administration, statistics or similar field. Professional qualifications such as FRM, NISM certifications etc. are added advantages
- Experience: 5-8 years of experience in risk management with at least 3 years in a leadership role. Relevant experience should be in a stock broking firm (focus on debt segment), wealth management firm, fixed income desk of Bank or NBFC.
Specific experience with OBPP preferred.
Risk Management
Posted 7 days ago
Job Viewed
Job Description
Department: Risk Management
Job Summary:
The Risk Manager will be instrumental in developing, implementing, and overseeing a robust risk management framework specifically for wealth management operations, including OBPP operations, mutual fund & insurance distribution activities. This role requires a deep understanding of nuanced operational, technological, and regulatory risks associated with digital platforms.
Key Responsibilities:
- Risk governance
- Design and implement the risk framework for the wealth platform
- Ensure compliance with SEBI and other regulatory requirements applicable to OBPPs, stock brokers, distributors etc.
- Platform and product risk management
- Identify, assess, and mitigate risks specific to OBPP and distribution operations.
- Set up and implement risk controls for digital operations, including order placement, settlements, payment processing etc.
- Analyze risks related to suitability and appropriateness of products, mis-selling, scheme-specific risks.
- Operational risk management of Altifi platform
- Assess and mitigate operational risks in the platform.
- Build and maintain SOPs for all processes; develop and monitor KRI dashboards
- Risk reporting
- Comprehensive reporting of risk metrics, mitigation measures to all relevant stakeholders
Qualifications:
- Education: MBA or equivalent post-graduation degree with specialisation in finance, risk management, business administration, statistics or similar field. Professional qualifications such as FRM, NISM certifications etc. are added advantages
- Experience: 5-8 years of experience in risk management with at least 3 years in a leadership role. Relevant experience should be in a stock broking firm (focus on debt segment), wealth management firm, fixed income desk of Bank or NBFC.
Specific experience with OBPP preferred.
Risk Management
Posted today
Job Viewed
Job Description
Department: Risk Management
Job Summary:
The Risk Manager will be instrumental in developing, implementing, and overseeing a robust risk management framework specifically for wealth management operations, including OBPP operations, mutual fund & insurance distribution activities. This role requires a deep understanding of nuanced operational, technological, and regulatory risks associated with digital platforms.
Key Responsibilities:
- Risk governance
- Design and implement the risk framework for the wealth platform
- Ensure compliance with SEBI and other regulatory requirements applicable to OBPPs, stock brokers, distributors etc.
- Platform and product risk management
- Identify, assess, and mitigate risks specific to OBPP and distribution operations.
- Set up and implement risk controls for digital operations, including order placement, settlements, payment processing etc.
- Analyze risks related to suitability and appropriateness of products, mis-selling, scheme-specific risks.
- Operational risk management of Altifi platform
- Assess and mitigate operational risks in the platform.
- Build and maintain SOPs for all processes; develop and monitor KRI dashboards
- Risk reporting
- Comprehensive reporting of risk metrics, mitigation measures to all relevant stakeholders
Qualifications:
- Education: MBA or equivalent post-graduation degree with specialisation in finance, risk management, business administration, statistics or similar field. Professional qualifications such as FRM, NISM certifications etc. are added advantages
- Experience: 5-8 years of experience in risk management with at least 3 years in a leadership role. Relevant experience should be in a stock broking firm (focus on debt segment), wealth management firm, fixed income desk of Bank or NBFC.
Specific experience with OBPP preferred.
Risk Management
Posted today
Job Viewed
Job Description
Job description
JD RMS EXECUTIVE
Roles and responsibilities
:
· Cross checking BOD for All segments before Market Start.
· Making Activation and Deactivation of Trading Terminal and Investor client.
· Ability to resolve queries on a day to day basis.
·
Keeping Monitoring on Additional Surveillance Margin (ASM) and reporting to HOD.
· Blocking GSM and Illiquid scrip on Time to Time in the Trading system.
·
RMS Blocking for Debit, RMS Blocking for Far month Contract, RMS Blocking for
Illiquid scrip.
· Keeping track of MTM Alert violation, MTM net position & Square off the open position
once MTM Loss get triggered.
· Responsible for squaring off all the intraday position through Timer Square off for all
segments.
· Supervision of Limit assigned to the clients (Base Limit and Intraday limits).
· Coordination with different teams.
· Surveillance of Script Wise & Client wise Position, Simulated Trade, Script concentration
etc.
· Track on Tender period contract in all Segments, Whole process of Straggled Delivery
Mechanism.
· Successfully Implementation Exchange & Depository Related Compliances.
· Enhance Supervisor Reporting, Client fund, Collateral, Security Balance (Weekly's).
· Daily Margin Reporting for all Segments.
· Quarterly Settlement of A/Cs & Dormant & Inactive Process & CTCL Empanelment.
Risk Management
Posted today
Job Viewed
Job Description
Roles and Responsibilities
Tracking Market movement and Risk exposures of clients- ODIN /OMNSYS
Monitoring clients positions, limits and triggering
Exchange Margin preparing and reporting
Take follow up of Peak & MTM Margin
Knowledge products like MTF, Exchange settlement
Desired Candidate Profile
Perks and Benefits
Risk Management
Posted 14 days ago
Job Viewed
Job Description
Department: Risk Management
Job Summary:
The Risk Manager will be instrumental in developing, implementing, and overseeing a robust risk management framework specifically for wealth management operations, including OBPP operations, mutual fund & insurance distribution activities. This role requires a deep understanding of nuanced operational, technological, and regulatory risks associated with digital platforms.
Key Responsibilities:
- Risk governance
- Design and implement the risk framework for the wealth platform
- Ensure compliance with SEBI and other regulatory requirements applicable to OBPPs, stock brokers, distributors etc.
- Platform and product risk management
- Identify, assess, and mitigate risks specific to OBPP and distribution operations.
- Set up and implement risk controls for digital operations, including order placement, settlements, payment processing etc.
- Analyze risks related to suitability and appropriateness of products, mis-selling, scheme-specific risks.
- Operational risk management of Altifi platform
- Assess and mitigate operational risks in the platform.
- Build and maintain SOPs for all processes; develop and monitor KRI dashboards
- Risk reporting
- Comprehensive reporting of risk metrics, mitigation measures to all relevant stakeholders
Qualifications:
- Education: MBA or equivalent post-graduation degree with specialisation in finance, risk management, business administration, statistics or similar field. Professional qualifications such as FRM, NISM certifications etc. are added advantages
- Experience: 5-8 years of experience in risk management with at least 3 years in a leadership role. Relevant experience should be in a stock broking firm (focus on debt segment), wealth management firm, fixed income desk of Bank or NBFC.
Specific experience with OBPP preferred.
Risk Management
Posted today
Job Viewed
Job Description
Department: Risk Management
Job Summary:
The Risk Manager will be instrumental in developing, implementing, and overseeing a robust risk management framework specifically for wealth management operations, including OBPP operations, mutual fund & insurance distribution activities. This role requires a deep understanding of nuanced operational, technological, and regulatory risks associated with digital platforms.
Key Responsibilities:
- Risk governance
- Design and implement the risk framework for the wealth platform
- Ensure compliance with SEBI and other regulatory requirements applicable to OBPPs, stock brokers, distributors etc.
- Platform and product risk management
- Identify, assess, and mitigate risks specific to OBPP and distribution operations.
- Set up and implement risk controls for digital operations, including order placement, settlements, payment processing etc.
- Analyze risks related to suitability and appropriateness of products, mis-selling, scheme-specific risks.
- Operational risk management of Altifi platform
- Assess and mitigate operational risks in the platform.
- Build and maintain SOPs for all processes; develop and monitor KRI dashboards
- Risk reporting
- Comprehensive reporting of risk metrics, mitigation measures to all relevant stakeholders
Qualifications:
- Education: MBA or equivalent post-graduation degree with specialisation in finance, risk management, business administration, statistics or similar field. Professional qualifications such as FRM, NISM certifications etc. are added advantages
- Experience: 5-8 years of experience in risk management with at least 3 years in a leadership role. Relevant experience should be in a stock broking firm (focus on debt segment), wealth management firm, fixed income desk of Bank or NBFC.
Specific experience with OBPP preferred.
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Analyst-Risk Management
Posted 3 days ago
Job Viewed
Job Description
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
**Description:**
Global Bonusing Governance (GBG) team in Enterprise Comms & Martech experiences (ECMX) is responsible for facilitating and governing the use of the Industry Bonusing (IB) Categories used in embedded bonusing and promotional bonusing for all Consumer and Corporate Card Products. The mission of the Global Bonusing team is to ensure Card Members receive the bonus rewards that are promised to them as part of their card value proposition or in merchant-based promotions through the governance and maintenance of merchant Bonus Categories. GBG actively manages and continuously improves the processes by which merchant data is maintained, governed, and used for rewards bonusing.
**How will you make an impact in this role?**
The candidate will be responsible for evaluating the accuracy of industry categorizations for selected merchants, identifying category algorithm enhancement opportunities as well as providing strategic inputs to partnering Business Units. This role expects the individual to be inquisitive, detailed oriented, thorough and offer powerful actionable insights to help businesses improve performance and capitalize on new opportunities. The role also demands that the individual be able to work independently and as a team.
**Key Responsibilities:**
- Perform research on specific Merchants leveraging internal and external data
- Synthesize data updates to inform algorithm enhancements
- Interact with partners to evaluate/review process and implement improvements
- Ensure all work is carried out and documented in accordance with the required standards, methods and procedures
- Analyzing complex datasets, interpreting marketing metrics and delivering insights to enable business decisioning & solutioning
- Strong stakeholder management and collaboration across Business Units
**Qualifications**
- Bachelor's / master's degree with 5 years of experience in marketing analytics, research or reporting
- Proficiency in Excel, VBA, SQL/Python and Tableau/Power BI
- Strong experience in creating decks and presenting findings effectively
- Excellent communication skills in English (written & verbal both)
- Payments or financial services industry experience is highly desirable
**Qualifications**
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ Support for financial-well-being and retirement
+ Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location)
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ Generous paid parental leave policies (depending on your location)
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law.
Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.
**Job:** Marketing
**Primary Location:** India-Haryana-Gurugram
**Schedule** Full-time
**Req ID:**
Analyst-Risk Management
Posted 3 days ago
Job Viewed
Job Description
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
Credit and Fraud Risk (CFR) team helps drive profitable business growth by reducing the risk of fraud and maintaining industry lowest credit loss rates. It uses an array of tools and ever-evolving technology to detect and combat fraud, minimize the disruption of good spending, and provide a world-class customer experience. The team leads efforts that leverage data and digital advancements to improve risk management as well as enable commerce and drive innovation.
A single decision can have many outcomes. And when that decision affects millions of customers, it needs to be the right one. That's where our Credit & Fraud Risk (CFR) Analytics & Data Science CoE team comes in. The team leads efforts that leverage data and digital advancements to improve risk management as well as enable commerce and drive innovation, every day. Right from targeting the right customer for our products to underwriting them to managing their experience with Amex when they get onboarded, every decision is advised by groundbreaking analytics & data science. We help the company grow its business profitably while delivering the world's best customer experience, all powered by data. We are the backbone of all financial services operations at American Express and impact every aspect of the company.
As a part of the team, you'll have the opportunity to work in one of the best companies for data scientists in the country. You will solve real world business problems while getting exposure to the industry's top leaders in analytics, data science and machine learning. If you're passionate about solving complex problems and crafting solutions that impact millions, you should consider a career in CFR.
**Description on the role (For Risk Strategy Req)**
Development, review and/or execution of economic logic & analytical solutions to drive profitable credit business actions.
**Responsibilities:**
* Understand the core business of AXP and the levers behind various decisions
* Analyze large amounts of data to derive business insights and create innovative solutions
* Leverage the power of closed loop through Amex network to make decisions more intelligent and relevant
* Innovate with a focus on developing newer and better approaches using big data & machine learning solution
* Clear articulation and structuring of business findings across prospect and customer domain to the leadership and key partners
* Maintain external lens and be aware of developments in the field of Finance/Payments/Analytics etc.
**Minimum Qualifications**
* MBA, master's degree in economics, Statistics, Computer Science Or related fields
* **0-18 months of experience i** n analytics (Analyst Req only)
* Ability to drive project deliverables to achieve business results
* Ability to work effectively in a team environment
* Strong communication and interpersonal skills
* Innovative problem solver with ability to learn quickly and work independently with complex, unstructured initiatives
* Ability to Integrate with Cross-Functional Business Partners Worldwide
**Qualifications**
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ Support for financial-well-being and retirement
+ Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location)
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ Generous paid parental leave policies (depending on your location)
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law.
Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.
**Job:** Risk
**Primary Location:** India-Haryana-Gurugram
**Other Locations:** India-Karnataka-Bengaluru Urban
**Schedule** Full-time
**Req ID:**