
Analyst
3 weeks ago
Compliance Analyst – Focus on Code of Ethics & Firm trading monitoring and surveillance
Job Location is Mumbai, Goregaon East
Key Responsibilities
Code of Ethics monitoring
Onboard/offboard employees to/from our StarCompliance/Financial Tracking System platform
Assist with preclearance and monitoring tasks related to the Firm’s personal trading policy
Investigate potential personal trading policy violations, escalating issues and documenting resolution
Firm Trading/Control room
Conduct daily trade surveillance, including trade blotter reviews and exception reporting
Maintain Firm’s list of restricted issuers
Conduct trade allocation back testing
Email surveillance
Assist team with email surveillance and related tasks
Required Qualifications
3+ years of relevant compliance, audit or risk management experience, ideally supporting a U.S.-based registered investment adviser
Some understanding of U.S. financial regulations, especially the Investment Advisers Act of 1940
Experience with order management systems or similar trading-related data warehouse platforms, compliance monitoring tools, trade surveillance platforms and data analytics
Excellent analytical, organizational and communication skills with a strong attention to detail
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