Regulatory Control Professional

2 days ago


Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 18,00,000
Regulatory Control Specialist

This role is responsible for overseeing employee activity within the Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management across APAC, Americas and EMEA regions.

Key Responsibilities:
  • Review, approve and monitor employee activity to ensure compliance with regulations and company policies.
  • Liaise with Country Compliance Officers, business units, Operations or Technology in developing, reviewing, testing and enhancing procedures.
  • Manage multiple requests efficiently and effectively.

To be successful in this role, you will require:

Required Skills and Qualifications:
  • Bachelor's or Master's degree in Commerce and Finance.
  • Minimum 4 years of prior experience in Investment Banking Operations.
  • Excellent communication and interpersonal skills.
  • Ability to communicate effectively with global stakeholders.
  • Knowledge of financial products including stocks, bonds, equity/credit derivatives.
  • Advanced MS Excel and PowerPoint skills.


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