Compliance Analyst

Job Description

Reference 25000FMX

Responsibilities

- Report to the India Chief Compliance Officer to implement efficient and best practice compliance and risk policies, procedures, and standards.
- Primary responsibility will include Trade surveillance and monitoring, supporting day to day stock broking and research compliances and regulatory filings
- Engage with the local business team to promote a culture of compliance
- The candidate will be expected to engage with all front office and middle office operations, including Sales, Trading, Research, Operations, Finance and Technology groups in implementing compliance programs
- Ensure global policies are adhered to by staff, including enforcing our Code of Business Conduct and Ethics
- Assist Compliance officer in implementing a risk-based compliance monitoring program including testing and reporting of the compliance environment
- Assist the Compliance Officer in preparing management papers for board of directors and other committees
- Assist in handling regulatory licensing and renewal matters, corporate/regulatory queries and industry consultations

Required

Profile required

We are looking for high quality talent to join Bernsteins India team as our Compliance Analyst. The ideal candidate will possess strong compliance principles and information on regulatory requirement.

Business insight

Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge.

Research is our legacy and foundation. Our brand is defined by our Black books, renowned for their in-depth quantitative forecasts and unmatched industry expertise. Our Research Analysts are thought leaders who typically have many years of direct experience in the industries they cover. Our reputation is for the very highest caliber of disciplined investment and industry analysis

In 2019 Bernstein acquired Autonomous Research, a highly regarded global financial services independent research firm. This acquisition further strengthened us as the preeminent provider of the highest-quality research to our clients worldwide.

On April 1, 2024, Alliance Bernstein and Societe Generale announced the official launch of Bernstein, a new joint venture expanding our global cash equities and equity research business. Clients now have unparalleled equity liquidity access and a full range of integrated services, leveraging Bernsteins cash equities and research capabilities and Societe Generalesequity derivatives, prime services and equity capital markets offering.

If you feel you have the required experience and qualifications, then please apply, and we will manage your application. At Bernstein, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.

Diversity and Inclusion

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

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