Risk Management Specialist

2 weeks ago

Aurangabad, Maharashtra, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000

Compliance Officer Role:

Job Title: Senior Compliance Specialist/ Team Lead/ Manager

We are seeking a detail-oriented and proactive professional to take on a key role in ensuring that our firm's trading activities and internal practices comply with regulatory standards and internal policies.

Key Responsibilities:

  • 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.
  • 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.
  • 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.
  • 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.
  • 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.
  • 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.
  • Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
  • 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.

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.

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