Deskripsi Pekerjaan
Cognizant is seeking a highly skilled and detail-oriented FINRA Specialist to join our dynamic team in Taguig City. As a global leader in professional services, Cognizant provides a platform for experts to excel in the financial services sector, delivering high-value solutions to our diverse international clientele. In this role, you will be instrumental in ensuring regulatory compliance and maintaining the highest standards of financial integrity.
We are looking for a professional who thrives in a fast-paced environment and possesses a deep understanding of FINRA regulations. If you are a licensed professional (Series 6/26) with a passion for excellence, operational risk management, and client service, we invite you to advance your career with one of the most reputable organizations in the industry.
Tanggung Jawab
- Ensure strict adherence to FINRA regulatory standards and internal compliance policies.
- Perform comprehensive reviews of account activities and documentation for regulatory alignment.
- Serve as a primary point of contact for complex inquiries regarding securities licensing and regulatory protocols.
- Monitor and report on transactional risks, ensuring all activities meet industry-standard guidelines.
- Collaborate with cross-functional teams to streamline compliance processes and improve operational efficiency.
- Conduct periodic audits of financial files to identify potential risks and recommend corrective actions.
- Maintain up-to-date knowledge of changing financial regulations to advise stakeholders effectively.
Kualifikasi
- Active and in good standing FINRA Series 6 and Series 26 licenses.
- Minimum of 3-5 years of experience in financial services, specifically within compliance or operations.
- In-depth knowledge of securities industry rules, regulations, and reporting requirements.
- Exceptional analytical skills with a proven track record of identifying and mitigating risks.
- Strong communication skills, capable of explaining complex regulatory requirements to non-technical stakeholders.
- Proficiency in financial software and Microsoft Office Suite.
- Ability to work in a high-pressure environment while maintaining meticulous attention to detail.
- Willingness to work in a shifting schedule to support global time zones.