Financial Regulation Expert

3 days ago

Lucknow, Uttar Pradesh, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 15,00,000
Job Overview

As a Compliance Specialist, you will play a critical role in ensuring adherence to regulatory requirements and fostering a culture of compliance within our organization.

Key Responsibilities Include:

  • Conducting thorough reviews of employee trading activities, verifying strict adherence to regulatory standards.
  • Establishing and maintaining robust trade preclearance processes, meticulously reviewing and approving employee trade requests prior to execution.
  • Collaborating with investment banks and approved brokers to establish and maintain employee trading accounts, aligning with regulatory best practices.
  • Performing detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Regularly monitoring e-communications within the organization to identify and address potential breaches related to insider trading concerns.
  • Facilitating and tracking compliance training sessions to enhance employee understanding of regulatory obligations.
  • Conducting ongoing risk assessments to identify emerging compliance challenges, informing strategic business decisions.
  • Assisting 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, 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.

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