Senior Governance Professional

3 days ago

Vellore, Tamil Nadu, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,70,00,000
Job Title

Senior Compliance Specialist.

We are seeking a detail-oriented and proactive professional to join our team as a Senior Compliance Specialist. The successful candidate will play a critical role in ensuring that the firm's trading activities and internal practices comply with regulatory standards and internal policies.

Key Responsibilities
  • Employee Trading Compliance: Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists in accordance with both external and internal compliance protocols.
  • Trade Preclearance Oversight: 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 trading policies.
  • Broker and Account Management: Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring the accurate and timely reporting of transactions in compliance with firm standards.
  • Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Monitoring E-Communications: Regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI).
Required Skills and Qualifications
  • 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, preferably within the financial services industry.
  • Strong written and verbal communication skills, with the ability to collaborate effectively across departments.
  • Proficiency in Microsoft Office Suite and compliance-related software tools.
Benefits

The ideal candidate will have an understanding of financial products and compliance best practices, excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.

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