Regulatory Risk Manager

2 days ago

Solapur, Maharashtra, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 18,00,000
Job Title: Senior Compliance Specialist

Key Responsibilities:

  • The ideal candidate will conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements.
  • They will enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines.
  • Candidates will 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.
  • They will perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Candidates will regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI).
  • They will 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.
  • Candidates will conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes.
  • They will assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance and maintain the firm's reputation.

Qualifications:

  • Bachelor's degree in 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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