Senior Compliance Officer

3 days ago

Surat, Gujarat, India beBeeCompliance Full time ₹ 70,00,000 - ₹ 1,40,00,000
Compliance Professional Role

We seek a detail-oriented compliance professional with an understanding of financial products and regulatory best practices.

This role requires exceptional analytical skills, attention to detail, and collaboration across departments to maintain high standards of corporate governance and ethics.

Main 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, 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 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, and work to identify and mitigate potential risks.
  • 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), proactively safeguarding against insider trading concerns.
  • 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.

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