Compliance Risk Manager

2 weeks ago

Jamnagar, Gujarat, India beBeeRegulatory Full time ₹ 35,00,000 - ₹ 45,00,000

Job Title: Senior Compliance Specialist

We are seeking a detail-oriented and proactive professional to join our team as a Senior Compliance Analyst/ Team Lead/AM/Manager. The successful candidate will play a critical role in ensuring that the firm's trading activities and internal practices comply with regulatory standards and internal policies.

Key Responsibilities:

  • Employee Trading Compliance: 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 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. This includes assessing potential conflicts of interest, ensuring compliance with restricted lists, and mitigating any risks associated with the misuse of Material Non-Public Information (MNPI), thereby safeguarding the integrity of the firm's trading practices and maintaining regulatory compliance.
  • 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 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.
  • Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
  • Policy Development and Implementation: 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.

Required Skills and Qualifications:

  • Demonstrated expertise in regulatory compliance, including knowledge of relevant laws, rules, and industry standards.
  • Strong analytical and problem-solving skills, with the ability to identify and mitigate potential compliance risks.
  • Excellent communication and interpersonal skills, with the ability to effectively collaborate with stakeholders at all levels.
  • Ability to work in a fast-paced environment, with a strong attention to detail and a commitment to delivering high-quality results.

Benefits:

  • Competitive salary and benefits package.
  • Opportunities for professional growth and development.
  • Collaborative and dynamic work environment.

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