Compliance Officer for Strategic Growth

6 days ago

Anand, Gujarat, India beBeeCompliance Full time ₹ 4,00,000 - ₹ 7,00,000

Compliance Officer Role

To drive strategic business growth, we require a skilled Compliance Officer to oversee and manage our firm's compliance processes.

Key Responsibilities:

  • Employee Trading Compliance: Conduct thorough reviews of employee trading activities, ensuring adherence to regulatory requirements and restricted lists.
  • Trade Preclearance Oversight: Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution.
  • Broker and Account Management: Collaborate with investment banks and brokers to establish and maintain employee trading accounts.
  • Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers, verifying compliance with the code of ethics and trading regulations.
  • Monitoring E-Communications: Regularly monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).
  • Compliance Training: Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  • Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges.
  • Policy Development and Implementation: Assist in the development, implementation, and updating of comprehensive compliance policies and procedures.

Requirements:

  • Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
  • Minimum of 5+ years of experience in compliance, regulatory affairs, or a related field.
  • Strong written and verbal communication skills.
  • Proficiency in Microsoft Office Suite and compliance-related software tools.

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