Chief Governance Officer

6 days ago

Pushkar, Rajasthan, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 1,50,00,000

We are seeking a diligent and astute Compliance Manager to enhance our team's capabilities. The ideal candidate will play a pivotal role in ensuring the firm's trading activities and internal practices comply with regulatory standards and internal policies. This position 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.

The successful candidate will be responsible for conducting thorough reviews of employee trading activities, enforcing a robust trade preclearance process, collaborating with investment banks and approved brokers, performing detailed analyses of statements from non-approved brokers, monitoring e-communications, facilitating compliance training sessions, conducting ongoing risk assessments, and assisting in the development and implementation of comprehensive compliance policies and procedures.

Key Responsibilities:
  • 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 the firm's 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 firm standards.
  • 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 the leakage of Material Non-Public Information (MNPI).
  • 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 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, ensure operational integrity, 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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