Compliance Analyst

1 week ago

New Delhi, India VARITE INC Full time

- Reviewing Employee Disclosures: - Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. - This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. - Reviewing Post-Trade Exceptions: - Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. - This involves thorough analysis and documentation to ensure compliance with regulatory requirements. - Reviewing Employee Transactions: - Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. - Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies. - Reviewing Terminated Employee Accounts: - Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. - This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly. - Resolving Personal Trading Data Issues: - Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. - This requires attention to detail and effective problem-solving skills to ensure data integrity. - Supporting the Employee Compliance Policy and Advisory Team: - Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. - This involves prioritizing and categorizing queries to ensure efficient handling and resolution. - Reviewing Mailboxes for Employee Responses: - Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. - This ensures that all actions are documented and tracked effectively. - Routine Follow-Up: - Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. - This includes maintaining communication with employees to verify transaction details and ensure compliance. - This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.Qualifications:- Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous. - Strong attention to detail, analytical skills, and problem-solving capabilities. - Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment. - Strong communication skills - A relevant degree in finance, law, business, or a related field is helpful but not a pre-requisite

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