Deskripsi Pekerjaan
Are you a seasoned financial services professional looking to advance your career with a global leader? Cognizant is seeking a detail-oriented FINRA Specialist to join our high-performing team in Taguig. In this pivotal role, you will act as a subject matter expert, ensuring strict adherence to regulatory standards while supporting our diverse portfolio of international clients.
As part of our practice, you will navigate complex financial landscapes, providing critical support in compliance, oversight, and operational excellence. At Cognizant, we foster a collaborative, innovation-driven culture where your expertise is valued, and your career path is supported by global resources. If you are passionate about regulatory integrity and operational efficiency, we invite you to apply and contribute to our commitment to excellence.
Tanggung Jawab
- Ensure comprehensive compliance with FINRA regulations and internal corporate policies.
- Act as a primary point of contact for complex inquiries regarding securities transactions and accounts.
- Monitor and analyze financial data to identify and mitigate potential compliance risks.
- Conduct thorough reviews of client documentation to ensure regulatory alignment.
- Collaborate with cross-functional teams to implement process improvements and operational efficiency.
- Prepare and submit accurate regulatory filings and reports within established deadlines.
- Maintain current knowledge of evolving SEC and FINRA rules and industry best practices.
Kualifikasi
- Active and in good standing FINRA Series 6 and Series 26 licenses are strictly required.
- Minimum of 3-5 years of experience in financial services, compliance, or regulatory operations.
- In-depth understanding of investment products and broker-dealer regulatory frameworks.
- Strong analytical mindset with the ability to interpret complex regulatory guidelines.
- Excellent verbal and written communication skills in English.
- Proficiency in financial software platforms and Microsoft Office Suite.
- Ability to thrive in a fast-paced, global outsourcing environment.
- Proven track record of managing sensitive information with strict confidentiality.