Senior Compliance Specialist

3 weeks ago


Delhi, India CES Full time
CES is currently looking for an Analyst/Senior Analyst - Compliance,We are looking for 3 years of experience in Compliance - Code of Ethics.

Shift Timings: 7:00 PM IST to 4:00 AM IST Job Title: Analyst/Senior Analyst - Compliance Location: Hyderabad

Job Description: A compliance analyst's primary goal is to ensure a company complies with the industry's laws and regulations. Serving as a point of contact for questions related to various global policies from employees at all levels. In their work, they may examine practices and policies within the business, identify areas where they are out of compliance, and offer suggestions for how to make necessary modifications.

Ongoing responsibilities of a Compliance Analyst – COE: - Conduct periodic, annual, and ad hoc compliance reviews. Analyse errors, violations, and potential personal trading conflicts making appropriate recommendations Client, ensuring a resolution of all cases, and issuing Violations as required. Creation of broker feed setups for the required approved broker accounts by reaching out to brokers Ensure to validate and approve the preclearance requests of all the employee trade requests. To conduct primary review on email monitoring on all employee sources of communications such as employee emails, Microsoft Teams, Bloomberg, Tele messages Ensure the assignment of correct designations to employees under various global policies through the review of designations and conversations with clients. Review, evaluate, and process requests pertaining to policies with having a keen knowledge in star compliance, I-Comply applications. Good understanding on Code of Ethics and code of Conduct subjectivities

Note: Candidates having 3+ years of experience, who can join us in 15 days or 30 days.



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