Compliance Support Specialist
1 month ago
About the Role
As a Compliance Support Specialist at Morae Global, you will play a vital role in ensuring the company's compliance with regulatory requirements and industry standards. Your primary responsibility will be to review employees' quarterly brokerage statements, identifying potential personal trade breaches and flagging them to the onshore compliance team.
Key Responsibilities
- Utilize internal compliance tools to ensure timely receipt of brokerage statements and send reminders to employees as needed.
- Screen and review social media handles of investment teams and capital partnering teams, flagging any issues to the onshore compliance team.
- Ensure new hires' certifications are completed on time and their initial disclosures are up-to-date.
- Update leaver's status on the firm's compliance system and maintain accurate records.
- Perform conflict checks on prospect lists and expert network usage reports, flagging potential issues to the onshore compliance team.
- Manage and review a high volume of emails and calendar invites for expert networks to ensure comprehensive record-keeping.
- Transcribe and manage recordings of expert network calls, reaching out to networks directly when records are missing.
- Collaborate with third-party services to translate expert network calls not conducted in English.
- Coordinate with new brokers/dealers to set up direct feed transmission with the firm's compliance system.
- Handle employee queries and external inquiries from family offices, brokers/dealers, and system vendors.
- Work closely with the onshore compliance team on day-to-day compliance matters and support the client team with ad-hoc requests.
Requirements
- Bachelor of Commerce (B.Com) or Master of Business Administration (MBA) with 5-7 years of experience in corporate compliance.
- Proficiency in MS Office tools (Excel, Word, PowerPoint).
- Prior experience working with compliance tools is an advantage.
- Strong communication and interpersonal skills.
About Morae Global
Morae Global is a dynamic, high-growth organization providing integrated solutions to corporate law departments and law firms. We partner with leading software and services providers, fostering productive long-term relationships with employees and clients. Our team has a vision to create effective solutions for business problems and the experience to execute that vision.
The estimated salary for this role is ₹8,50,000 - ₹12,00,000 per annum, depending on location and experience.
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