Code of Ethics-Compliance Operations

5 days ago

New Delhi, India Acuity Knowledge Partners Full time

Job PurposeThis role is part of the corporate and forensic compliance team and works closely with stakeholders to conduct investigations and administration of all aspects of the code of ethics and mitigate conflicts of interest that could arise between the Firm and its employees.• One of the key responsibilities will be to support and deliver the objectives of clients and ensure that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and that all evidence is collected and preserved in a manner prescribed by the clients.Key Responsibilities• Perform routine Core Compliance review, monitoring, and escalation processes, including Personal Account Dealing, Gift & Entertainment, Political Contribution, Outside Business Activity, and other matters subject to the code of ethics.• Process employee requests related to PAD, G&E, political contribution, OBA.• Review and reconcile employee personal account statements.• Monitor communication and trading patterns for wall-crossed individuals, Private and Public side employees.• Log and maintain the restricted trading list and review trading patterns between restricted list and trading desks.• Ensure compliance with regulatory requirements and internal policies and Identify cases of non- compliance.• Document and clearly articulate alert disposition. Acuitykp.com• Support client in high volume compliance task.• Adhere to client’s standard operating procedures, process workflows, and Acuity’s compliance standards.• Stay abreast of regulatory developments and industry best practices to suggest improvements in the client’s process.• Develop good interpersonal relationships with the clients to get the best information and insights from them.• Undertake a variety of ad hoc tasks, as required.Key CompetenciesQualifications/Skills:• Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.• Understanding of regulatory landscape in US, UK, or APAC.• Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.• Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.• Understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc. • Strong communication skills – written and verbal.• Strong proficiency in Microsoft applications.Preferred skills:• A certification in the financial market or products will be an added advantage.• Ability to work collaboratively with cross-geographical teams.• Display team-work orientation and ability to multi-task.Experience:• 2-5 years of total experience with strong experience in compliance predominantly in the code of ethics• Understanding of financial markets and financial instruments, including awareness of securities trading, trade life cycle, etc.• Knowledge of corporate compliance activities like personal trade monitoring, gifts, and entertainment, outside business activities, training & line coverage.• Familiarity with Code of Ethics software is a plus

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