Senior Compliance Expert

7 days ago

Chennai, Tamil Nadu, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

We are seeking a detail-oriented and proactive compliance professional to join our organization. The successful candidate will play a critical role in ensuring that the firm's 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, including the ability to conduct thorough reviews of employee trading activities and enforce a robust trade preclearance process.

  • Conduct regular reviews of employee trading activities to ensure strict adherence to regulatory requirements and internal compliance protocols.
  • Enforce a rigorous trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and internal trading policies.

In addition to strong analytical skills and attention to detail, the successful candidate will possess excellent communication and collaboration skills, with the ability to work effectively across departments to maintain the highest standards of corporate governance and ethics.

To be considered for this role, candidates must possess a Bachelor's degree in a relevant field and a minimum of 5+ years of experience in compliance, regulatory affairs, or a related field. Proficiency in Microsoft Office Suite and compliance-related software tools is also required.

Key Responsibilities:
  • Employee Trading Compliance
  • Trade Preclearance Oversight
  • Broker and Account Management
  • Non-Approved Broker Oversight
  • Monitoring E-Communications
  • Compliance Training
  • Risk Assessment and Mitigation
  • Policy Development and Implementation

This is a dynamic and challenging role that requires a unique blend of technical knowledge, business acumen, and interpersonal skills. If you are a motivated and experienced compliance professional looking for a new challenge, we encourage you to apply.

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