We are seeking a Regulatory Compliance Analyst to join our Compliance Department in Bangalore, India. The successful candidate will be responsible for conducting communications reviews (emails, slack, etc.) of trading groups and supporting various compliance projects. This role is critical to ensure the effectiveness, scalability, and robustness of the firm's email monitoring program.
\nKey Responsibilities: Conduct communication reviews for trading groups and perform searches related to internal investigations. Prepare weekly and monthly memos summarizing findings from email surveillance reviews. Assist in the development and enhancement of policies and procedures to reflect changes in business, regulations, and emerging compliance issues. Stay up to date with relevant regulatory developments and changes. Participate in other compliance-related projects as needed.
\nQualifications and Skills: Bachelor's degree (preferably in Business, Finance, Economics, or a related field) with at least 2 years of experience. Prior experience in a compliance role at a Registered Investment Adviser (RIA) or Broker-Dealer is preferred. Strong understanding of regulatory and self-regulatory agencies (e.g., SFC, MAS and others) and familiarity with key regulations such as the Investment Advisers Act of 1940 and Securities Act of 1933. Excellent team player with the ability to prioritise tasks in a fast-paced, high-pressure, and constantly evolving environment. Entrepreneurial mindset with the ability to work independently and manage projects effectively. Strong interpersonal skills with the ability to collaborate across departments and build effective working relationships. Exceptional writing, analytical, and problem-solving skills. Proficiency with various technological applications and tools. Broad knowledge of financial products and the financial services industry is a plus. Experience with Microsoft Excel, Word, and PowerPoint.
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\nThe international legal team is responsible for providing technically excellent, yet practical and commercial legal advice to a wide range of cross-functional partners, with particular exposure to the Sales, Marketing and Operations teams. You will have the opportunity to work with talented technical and revenue leaders across the business and be exposed to different working cultures across a huge range of geographic locations.
\nKey responsibilities include:
\nRequirements include:
\nPreferred qualifications include additional language skills, data protection qualifications, and experience working with counterparts across a globally distributed workforce.
\nAt Figma, we celebrate and support our differences. We know employing a team rich in diverse thoughts, experiences, and opinions allows our employees, our product, and our community to flourish. Figma is an equal opportunity workplace - we are dedicated to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity/expression, veteran status, or any other characteristic protected by law.
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