Investment Trade Compliance

4 weeks ago

Bengaluru, India Morae Full time

ob Title: Associate Manager – Compliance Support (Private Equity)

Job Location: Bangalore/Delhi NCR, India

Job Type: Full Time



Morae Global seeks to find the best and the brightest people – those who understand what it takes to deliver top-quality solutions for our clients.


Responsibilities

  • Review employees’ quarterly brokerage statements working across various geographical locations and flag any potential personal trade breaches to the onshore compliance team
  • Utilize internal compliance tools to ensure that brokerage statements are received prior to internal deadlines, including sending employees reminders and flagging outstanding items to the onshore compliance team
  • Screen and review social media handles of investment (deal) teams and capital partnering teams & flag issues to onshore compliance tea
  • Ensure the new hires' certifications are completed on time by employees & ensure their initial disclosures are up-to-date.
  • Update the leaver's status on the firm’s compliance system and update records accordingly.
  • Perform conflict checks on prospects list and expert network usage reports. Flag any potential issues to the onshore compliance team.
  • Manage and review a high quantity of emails and calendar invites for expert networks to ensure comprehensive recordkeeping.
  • Manage a high volume of transcripts and recordings of expert network calls to ensure records are complete and reach out to networks directly when records are missing.
  • Work directly with third-party services to complete translations of expert network calls not conducted in English.
  • Coordinate with new brokers/dealers to set up direct feed transmission (Electronic Feeds) with the firm’s compliance system.
  • Handle employee queries or queries from external parties such as family offices, brokers/dealers, and system vendors.
  • Work closely with the onshore compliance team on day-to-day compliance matters and support the client team with ad-hoc requests whenever require


Skills and Experience

  • Bachelor of Commerce (B.Com) or Master of Business Administration (MBA) with 5-7 years of experience in working for a corporate compliance team at an investment bank or private equity fi
  • Good at working with MS Office tools (Excel, Word, and PowerPoint
  • Prior experience working on Compliance Tools (i.e., My Compliance Office, STAR Compliance, ComplySci - PTCC) tool is a pl
  • Strong communication and interpersonal skills


About Morae Global


Morae Global is a dynamic, high-growth organization that provides an integrated suite of solutions to corporate law departments and law firms and partners with leading software and services providers, both within and outside the legal industry. We are a young company but are made up of seasoned professionals in the legal industry, with a focus on building productive long-term relationships with employees and clients in an environment where collaboration is encouraged, knowledge is shared freely, and diversity of thought, cultures, communities, and points of view is embraced. Our team has the vision to create an effective solution for any business problem and the experience to execute that vision.

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