Senior Compliance Officer

5 days ago

Thāne, Maharashtra, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000

Job Summary

  • Servicing financial institutions in accordance with compliance standards is a crucial aspect of this role.

Key Responsibilities:

  1. Conduct thorough reviews of employee trading activities to ensure strict adherence to regulatory requirements, watchlists, and restricted lists in line with both external and internal protocols.
  2. 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 policies.
  3. Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts ensuring accurate and timely reporting of transactions in compliance with firm standards.
  4. Perform detailed analyses of statements from non-approved brokers verifying compliance with the firm's code of ethics and trading regulations.
  5. Regularly monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).
  6. 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.

Requirements

  • 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 ability to collaborate effectively across departments.

This is a senior-level position requiring strong leadership skills and ability to work independently as well as collaboratively with cross-functional teams.

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