Manager , Distribution Operations
ACA Compliance Group (company site, opens in a new tab)10+ yrsPuneOn-siteDirect career pageEst. 12–20 LPA
Posted 1d ago
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Job description
Structured overview of role & requirements
About This Role
- Lead and manage Pune Distribution Business Units teams ensuring execution of business objectives and reporting results to Distribution leadership.
- Act as primary liaison between U.S. Distribution leadership, Pune staff, and ACA Pune leadership, representing the unit in client engagements and leadership visits.
- Serve as Supervising Principal for the Pune Office of Supervisory Jurisdiction (OSJ) providing regulatory compliance oversight and maintaining adherence to FINRA and SEC regulations.
Minimum Requirements
- Bachelor's degree, preferably with emphasis in finance.
- Minimum 10 years of management experience.
- Minimum 5 years of related compliance experience.
- Preferred broker-dealer experience and prior management in compliance, marketing review, or operations; firm requires strong understanding of SEC / FINRA rules.
Ideal Candidate Profile
- Experienced in managing distributed teams with multiple reporting lines in a regulatory compliance environment.
- Comfortable operating as a compliance liaison between U.S. leadership and offshore teams with accountability for regulatory standards.
- Skilled in interpreting and applying SEC and FINRA regulatory requirements within a broker-dealer or related financial operations context.