Senior Compliance Expert

5 days ago

Nagpur, Maharashtra, India beBeeCompliance Full time ₹ 19,71,243 - ₹ 23,79,884

Job Title: Senior Compliance Expert

This role plays a critical part in ensuring regulatory standards and internal policies are met.

  • Employee Trading Compliance:
  • Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists.
  • 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.
  • 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.
  • Non-Approved Broker Oversight:
  • Perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Monitoring E-Communications:
  • Regularly monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).
  • Compliance Training:
  • Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  • Risk Assessment and Mitigation:
  • Conduct ongoing risk assessments to identify emerging compliance challenges and minimize potential compliance risks.
  • Policy Development and Implementation:
  • Assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance and maintain the firm'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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