Senior Compliance Manager

5 days ago


Erode, Tamil Nadu, India beBeeCompliance Full time ₹ 1,08,00,000 - ₹ 1,56,00,000
Compliance Expertise

We seek a detail-oriented professional to fill the role of Senior Compliance Analyst/Team Lead/Manager.

The ideal candidate will have an in-depth understanding of financial products and compliance best practices, with exceptional analytical skills and attention to detail.

Main Responsibilities:
  • Conduct thorough reviews of employee trading activities, ensuring adherence to regulatory requirements.
  • Maintain a robust trade preclearance process, meticulously reviewing and approving employee trade requests.
  • Collaborate with external parties to establish and maintain employee trading accounts, ensuring accurate reporting of transactions.
  • Analyze statements from non-approved brokers, verifying compliance with internal codes of ethics and trading regulations.
  • Regularly monitor firm communications to identify potential breaches related to Material Non-Public Information (MNPI).
  • Deliver compliance training sessions to enhance employee understanding of regulatory obligations.

Requirements:

  • Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
  • Minimum 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
  • Excellent communication and collaboration skills.
  • Proficiency in Microsoft Office Suite and compliance-related software tools.

About This Opportunity:

This is a key role in ensuring our trading activities comply with regulatory standards and internal policies.



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