Regulatory Compliance Specialist

6 days ago


guntur, India beBeeCompliance Full time

Job DescriptionThis role involves reviewing employee disclosures, examining personal trading accounts and undertaking necessary actions such as initiating feed setup formalities, account closure notifications, and performing routine follow-up on outstanding items.You will identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards.In addition, you will review employee transaction confirmations and quarterly statements, updating employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.This role also requires examining terminated employee accounts, ensuring timely initiation of feed disconnection requests, and resolving and reconciling any personal trading data issues, addressing any data load errors.You will work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.



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