Deskripsi Pekerjaan
Cognizant is a global professional services company, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses.
We are currently seeking a highly skilled FINRA Specialist to join our expanding team in Taguig City, Metro Manila. As a Licensed FINRA Professional (Series 6/26), you will play a critical role in ensuring the integrity of our client's brokerage operations and maintaining the highest standards of regulatory compliance.
In this role, you will be part of a dynamic global team, working collaboratively to navigate the complexities of the US securities market. You will leverage your expertise to supervise registered representatives, review communications, and ensure strict adherence to FINRA and SEC rules. This is an excellent opportunity to elevate your career with a Fortune 500 company that values innovation and professional growth.
Your expertise will directly contribute to the operational excellence and risk mitigation strategies of our financial services clients. We are looking for a professional who thrives in a fast-paced, cross-functional environment and possesses a deep understanding of the securities industry regulations.
Tanggung Jawab
- Supervise a team of registered representatives to ensure compliance with FINRA, SEC, and internal company policies.
- Review and approve client account documentation, trades, and communications in accordance with regulatory standards.
- Conduct periodic inspections and audits of branch offices to identify and mitigate potential compliance risks.
- Provide guidance and mentorship to associates regarding securities regulations, ethical practices, and firm policies.
- Handle and resolve customer complaints and inquiries in a manner consistent with regulatory requirements.
- Stay abreast of changes in securities laws and regulations, ensuring organizational policies and procedures are updated accordingly.
- Prepare and submit regulatory filings and reports as required by governing bodies.
Kualifikasi
- Active and valid FINRA Series 6 and Series 26 licenses are mandatory.
- Bachelor's degree in Finance, Business Administration, or a related field.
- Minimum of 3-5 years of experience in the securities industry, with at least 2 years in a supervisory capacity.
- In-depth knowledge of SEC, FINRA, and MSRB rules and regulations.
- Strong analytical and problem-solving skills with keen attention to detail.
- Excellent verbal and written communication skills.
- Ability to work in a high-volume, deadline-driven environment.
- Experience working in a global or shared services environment is a plus.