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Compliance and Ethics Analyst

2 weeks ago

Bengaluru, Karnataka, India beBee Careers Full time

About the Role:

We are seeking a highly skilled and detail-oriented professional to oversee compliance with regulatory requirements and internal policies related to employee trading and other ethical conduct. This role is critical in ensuring the firm's Code of Ethics policies and procedures are administered and monitored effectively.

The ideal candidate will have a strong understanding of asset management, capital markets, and compliance regulations, with a focus on managing and mitigating potential risks and violations. Key responsibilities include processing and reviewing employee preclearance requests, monitoring and analyzing employee trading activities, and conducting periodic reviews of employee trading activity, including broker statement reviews.

In addition, this role involves managing broker setups, maintaining accurate records, and reviewing and processing outside business activity disclosures and exemption requests. The successful candidate will also be responsible for handling new hire certifications, providing training on Code of Ethics policies, and identifying, investigating, and reporting violations of Code of Ethics policies.

This role requires strong analytical and problem-solving skills, excellent communication and interpersonal skills, and the ability to work independently and as part of a team. The ideal candidate will have proven experience in Code of Ethics activities within an asset management entity and a strong understanding of compliance and regulatory requirements in the asset management industry.

Key Responsibilities:

- Manage and monitor the firm's Code of Ethics policies and procedures

- Process and review employee preclearance requests

- Monitor and analyze employee trading activities for potential violations

- Conduct periodic reviews of employee trading activity, including broker statement reviews

- Manage broker setups and maintain accurate records

- Review and process outside business activity disclosures and exemption requests

- Handle new hire certifications and provide training on Code of Ethics policies

- Identify, investigate, and report violations of Code of Ethics policies

- Monitor and mitigate failed DAD monitoring