Employee Compliance Specialist

6 days ago


Mumbai, Maharashtra, India beBeeCompliance Full time

Job Title: Employee Compliance Specialist

Job Description

The role of the Employee Compliance Officer is to ensure that all employee activity is compliant with regulatory requirements. This involves reviewing, approving and monitoring employee activity within Personal Account dealing Trading, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA regions.

This includes:

  • Reviewing employee activity to ensure compliance with regulatory requirements
  • Approving or rejecting employee requests for Personal Account dealing Trading
  • Monitoring employee activity to prevent non-compliance

As an Associate of Employee Compliance in Central Compliance, you will work closely with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures.

Required Skills and Qualifications

To be successful in this role, you will need to have:

  • A Bachelor's or Master's degree in Commerce and Finance
  • Minimum 6-8 years of experience in Investment Banking Operations
  • Knowledge of financial products including stocks, bonds, equity/credit derivatives
  • Advanced MS Excel and PowerPoint skills
  • Strong communication and presentation skills
  • Team player with great attitude and work ethic
Benefits

We offer a competitive salary and benefits package, as well as opportunities for professional growth and development.

Others

This role requires strong analytical and problem-solving skills, as well as the ability to work well under pressure and meet deadlines.



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