Senior Trade Compliance Officer

3 days ago


Kollam, Kerala, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 2,00,00,000

The company is looking for a Senior Compliance Specialist to join their team.

Job Overview

This role plays a critical part in ensuring that the firm's trading activities comply with regulatory standards and internal policies.

The ideal candidate will have expertise in financial products, compliance best practices, analytical skills, attention to detail, and the ability to collaborate across departments.

Key Responsibilities:
  • Conduct reviews of employee trading activities to ensure adherence to regulatory requirements.
  • Meticulously review and approve employee trade requests prior to execution.
  • Collaborate with investment banks and brokers to establish and maintain employee trading accounts.
  • Analyze statements from non-approved brokers to verify compliance with the firm's code of ethics and trading regulations.
  • Regularly monitor e-communications within the firm to identify potential breaches related to Material Non-Public Information.
  • Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  • Identify emerging compliance challenges and minimize potential risks through ongoing risk assessments.

Qualifications:

  • Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
  • At least 5 years of experience in compliance, regulatory affairs, or a related field.
  • Strong written and verbal communication skills, with the ability to collaborate effectively across departments.


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