Compliance Expert

2 days ago

Mangalore, Karnataka, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Senior Compliance Professional

We are seeking a detail-oriented and proactive professional to play a critical role in ensuring that our 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.

  • 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 internal trading policies.
  • Broker and Account Management:
  • Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions in compliance with firm standards.

Key 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.

This is a challenging yet rewarding opportunity for a motivated individual to join our team and contribute to maintaining the highest standards of corporate governance and ethics.

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