Senior Risk Management Professional

6 hours ago

Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 1,50,00,000
Compliance Specialist Job Description

We are seeking a detail-oriented Compliance Specialist to ensure our trading activities and internal practices comply with regulatory standards and internal policies.

  • Job Responsibilities:
  • Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists in accordance with both external and internal compliance protocols.
  • Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and the firm's internal trading policies. This includes assessing potential conflicts of interest, ensuring compliance with restricted lists, and mitigating any risks associated with the misuse of Material Non-Public Information (MNPI), thereby safeguarding the integrity of the firm's trading practices and maintaining regulatory compliance.
  • Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring the accurate and timely reporting of transactions in compliance with firm standards.
  • Perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations, and work to identify and mitigate potential risks.
  • Regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI), proactively safeguarding against insider trading concerns.
  • Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations and ensure adherence to best practices in ethical trading and corporate governance.
  • Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
  • Assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance, ensure operational integrity, and maintain the firm's reputation.

Qualifications:

  • A bachelor's degree in commerce, finance, accounting, business, law, or a related field.
  • Minimum 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
  • Strong written and verbal communication skills, with the ability to collaborate effectively across departments.
  • Proficiency in Microsoft Office Suite and compliance-related software tools.

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