Regulatory Risk Manager

10 hours ago

Amrāvati, Maharashtra, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Job Title

Senior Compliance Analyst/Team Lead/AM/Manager

Role Overview

The firm seeks a detail-oriented and proactive individual to fill the position of Senior Compliance Analyst/Team Lead/AM/Manager. This role plays a crucial part in ensuring that the firm's trading activities and internal practices comply with regulatory standards and internal policies.

Main Responsibilities
  • 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 the firm's internal trading policies.
  • Broker and Account Administration:
    • 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.
  • Non-Approved Broker Review:
    • 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.
  • E-Communication Monitoring:
    • 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 Provision:
    • 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 Strategy:
    • 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 Support:
    • 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
  • 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.
  • Proficiency in Microsoft Office Suite and compliance-related software tools.

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