Financial Governance Specialist

2 days ago

Vellore, Tamil Nadu, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000

Compliance Officer Role Overview

We are seeking a highly skilled and detail-oriented individual to join our team as a Compliance Officer. This role plays a critical part in ensuring that our 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.

Key Responsibilities:
  • Conduct Thorough Reviews: 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.
  • Enforce Trade Preclearance: Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and internal trading policies.
  • Collaborate with Investment Banks: 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.
  • Analyze Broker Statements: Perform detailed analyses of statements from non-approved brokers, verifying compliance with the code of ethics and trading regulations, and work to identify and mitigate potential risks.
  • Monitor 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).
  • Facilitate 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.
  • Conduct Risk Assessments: Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
  • Develop Compliance Policies: 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: Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
  • Experience: Minimum of 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
  • Communication Skills: Strong written and verbal communication skills, with the ability to collaborate effectively across departments.
  • Technical Skills: Proficiency in Microsoft Office Suite and compliance-related software tools.

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