Senior Compliance Professional

2 days ago

Nashik, Maharashtra, India beBeeRegulatory Full time ₹ 90,00,000 - ₹ 1,20,00,000
Job Overview

We are seeking a detail-oriented and proactive Senior Compliance Specialist to join our team. The successful candidate will play a critical role in ensuring that 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, as well as excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.

This position requires strong written and verbal communication skills, with the ability to facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.

A minimum of 5+ years of experience in compliance, regulatory affairs, or a related field is required, preferably within the financial services industry.

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 external and internal compliance protocols.
  • Trade Preclearance Oversight: Enforce a robust trade preclearance process, 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.
  • 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.

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