Compliance Specialist

5 days ago

Guntur, Andhra Pradesh, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,00,00,000
Senior Compliance Professional

We are seeking a diligent and proactive compliance specialist to fill this key role.

The successful candidate will play a pivotal part in ensuring that our trading activities and internal practices adhere to regulatory standards and policies.

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

  • 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 our 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 our standards.
  • Non-Approved Broker Oversight:
  • Perform detailed analyses of statements from non-approved brokers, verifying compliance with our code of ethics and trading regulations, and work to identify and mitigate potential risks.
  • Monitoring E-Communications:
  • Regularly monitor e-communications within the organization 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 organization 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 organization'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.

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