Compliance Risk Manager

2 days ago

Kozhikode, Kerala, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Summary:

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  • Avoidance of Regulatory Breaches
  • Trade Preclearance Process
  • Broker Account Management
  • Analysis and Verification
  • MNPI Identification
  • Compliance Training Facilitation
  • Risk Assessment

About the Role:

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This is a critical role within our organization, responsible for ensuring adherence to regulatory requirements and internal policies. As a Compliance Specialist, you will be at the forefront of maintaining the highest standards of corporate governance and ethics.

The ideal candidate will have a strong understanding of compliance best practices and regulatory requirements, with excellent analytical skills and attention to detail. You will work closely with various departments to ensure seamless execution of your responsibilities.

You will be responsible for ensuring strict adherence to regulatory requirements, enforcing a robust trade preclearance process, and collaborating with investment banks and approved brokers to establish and maintain employee trading accounts.

In addition, you will perform detailed analyses of statements from non-approved brokers, verifying compliance with our code of ethics and trading regulations. You will also monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).

Furthermore, you will facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations, as well as conduct ongoing risk assessments to identify emerging compliance challenges and minimize potential compliance risks.

Key Qualifications:

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  • 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
  • Strong written and verbal communication skills, with the ability to collaborate effectively across departments

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