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Post Trade Compliance Support
1 month ago
Associate Manager – Compliance Support (Private Equity) Mumbai/Delhi NCR, India Morae Global seeks to find the best and 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.
- Utilized internal compliance tools to ensure that brokerage statements were 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 team.
- Ensure the new hires certifications are completed on time by employees & ensure their initial disclosures are up-to-date.
- Update the leavers' 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 recordkeeping is comprehensive.
- 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
- Coordinated with new brokers/dealers to set up direct feed transmission (Electronic Feeds) with firm's compliance system.
- Handle employee queries or queries from external parties such as family offices, broker/dealers, system vendors, etc.
- Work closely with the onshore compliance team on day-to-day compliance matters and to support the client team with ad-hoc requests whenever required.
Qualifications
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 firm.
Required Skills
- 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) is a plus.
- Strong communication and interpersonal skills.
About the Company
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.
