Compliance Team Lead

4 days ago

Vadodara, Gujarat, India beBeecompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Compliance Expertise

We are seeking a detail-oriented and proactive Senior Compliance Analyst to assume a leadership role within our organization.

The successful candidate will play a critical role in ensuring that our trading activities and internal practices adhere to regulatory standards and internal policies.

  • Employee Trading Oversight: 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 Management: Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and our 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 accordance with our organizational standards.

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.

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