Senior Regulatory Specialist

6 days ago

Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 30,00,000

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. This includes assessing potential conflicts of interest, ensuring compliance with restricted lists, and mitigating any risks associated with the misuse of Material Non-Public Information (MNPI), thereby safeguarding the integrity of the firm's trading practices and maintaining regulatory compliance.
  • 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, and work to identify and mitigate potential risks.
  • 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), proactively safeguarding against insider trading concerns.
  • Compliance Training: 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.
  • Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
  • Policy Development and Implementation: Assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance, ensure operational integrity, and maintain the firm's reputation.

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.

 

The successful candidate will play a critical role in ensuring that the company's trading activities and internal practices comply with regulatory standards and internal policies. The ideal candidate will have an understanding of financial products and compliance best practices. This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics. 

  • Regulatory Compliance Specialist

    1 week ago

    Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000

    Regulatory Compliance SpecialistThe role of a Regulatory Compliance Specialist is multifaceted and dynamic, requiring an individual to be adept at navigating complex regulatory landscapes.

  • Senior Regulatory Specialist

    1 week ago

    Bareilly, Uttar Pradesh, India beBeeCompliance Full time US$ 85,000 - US$ 1,25,000

    Job Title: Compliance ProfessionalAt our organization, we foster a culture of innovation and shared values. Our commitment to supporting our customers, communities, and colleagues is unwavering.As part of our team, you will experience comprehensive support for your well-being and numerous opportunities to learn new skills, develop as a leader, and grow your...

  • Regulatory Compliance Specialist

    1 week ago

    Bareilly, Uttar Pradesh, India beBeeRegulatoryCompliance Full time ₹ 7,50,000 - ₹ 15,00,000

    About the RoleThis is a unique opportunity to join our team as a Regulatory Compliance Specialist. As a Liaison Officer, you will be responsible for ensuring that all necessary licenses and approvals are obtained and renewed in a timely manner.

  • Expert Regulatory Compliance Specialist

    1 week ago

    Bareilly, Uttar Pradesh, India beBeeRegulatory Full time ₹ 15,00,000 - ₹ 25,00,000

    Job Title: Regulatory Compliance ExpertWe are seeking a seasoned Regulatory Compliance Specialist to spearhead our homologation process and ensure regulatory compliance for our retrofit emission control device and automotive-related products.The ideal candidate will be responsible for driving all homologation-related activities, including both technical and...

  • Senior Regulatory Compliance Officer

    1 week ago

    Bareilly, Uttar Pradesh, India beBeeRegulatory Full time ₹ 10,51,200 - ₹ 14,21,600

    Regulatory Affairs SpecialistThis position involves preparing, reviewing, and maintaining regulatory documents to ensure compliance with international guidelines and country-specific requirements. The Regulatory Affairs Executive will coordinate with internal teams and external stakeholders to support product registrations, timely dossier submissions, query...

  • Regulatory Publishing Specialist

    2 weeks ago

    Bareilly, Uttar Pradesh, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,50,00,000

    Job Opportunity: Regulatory Publishing SpecialistWe are seeking a seasoned Regulatory Publishing Specialist to prepare and manage submissions in eCTD format using Veeva Vault eCTD Publishing.Main Responsibilities:Develop, compile, and publish regulatory documents according to global health authority requirements.Maintain compliance with regulatory guidelines...

  • Senior Regulatory Strategist

    1 week ago

    Bareilly, Uttar Pradesh, India beBeePolicy Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

    About the RoleThis is an opportunity to shape Airtel's regulatory strategy, partnering closely with senior leadership to influence the external environment and drive internal alignment.The role comes with immense potential to learn, impact industry-shaping policies, and contribute to the growth of a dynamic company.Key ResponsibilitiesDevelop policy...

  • Head of Regulatory Affairs

    2 weeks ago

    Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

    Compliance LeaderA seasoned leader is required to oversee and implement effective compliance strategies that align with statutory, regulatory, and internal governance standards. This role demands exceptional leadership, analytical, and communication skills to advise senior management and the board on key matters.Main ResponsibilitiesCorporate Governance:...

  • Regulatory Affairs Manager

    2 weeks ago

    Bareilly, Uttar Pradesh, India beBeeRegulatory Full time ₹ 18,00,000 - ₹ 22,00,000

    Regulatory Affairs SpecialistWe are seeking a detail-oriented Regulatory Affairs Specialist to support end-to-end submissions for global markets.Key Responsibilities:Prepare Variation documents and/or evaluate post-approval CMC changes in compliance with global regulatory requirements.Contribute to Lifecycle Management (LCM) activities by helping to compile...

  • Regulatory Publishing Expert

    2 weeks ago

    Bareilly, Uttar Pradesh, India beBeeRegulatory Full time ₹ 10,00,000 - ₹ 15,00,000

    Job Overview:The role of Regulatory Publishing Specialist is crucial in the preparation and management of BLA submissions in eCTD format using Veeva Vault eCTD Publishing.