Compliance Expert for Regulatory Excellence
5 days ago
We are seeking a detail-oriented and proactive Senior Compliance Specialist to join our team.
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. The ideal candidate will have an understanding of financial products and compliance best practices.
This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.
- 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.
Key qualifications include:
- 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.
-
Regulatory Compliance Specialist
4 days ago
Jodhpur, Rajasthan, India beBeeRegulatory Full time ₹ 18,00,000 - ₹ 20,00,000Job Title: Regulatory Compliance ExpertKey Responsibilities:Manage regulatory submissions, ARR filings, and tariff determination.Collaborate with Power Utilities and provide end-to-end support in regulatory processes.Required Skills and Qualifications:Postgraduate degree (B.E. / B. Tech) in Electrical or related discipline along with MBA / PGDM in Finance or...
-
Senior Regulatory Compliance Expert
2 weeks ago
Jodhpur, Rajasthan, India beBeeRegulatoryAffairs Full time ₹ 60,00,000 - ₹ 1,20,00,000Regulatory Affairs Professional NeededAbout the Role:We are seeking a seasoned Regulatory Affairs professional with expertise in pharmaceutical and medical device regulatory compliance. The role involves preparing, reviewing, and submitting regulatory documentation to global health authorities, ensuring adherence to applicable regulations (FDA, EMA, CDSCO,...
-
Regulatory Compliance Specialist
2 weeks ago
Jodhpur, Rajasthan, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 2,10,00,000Key Responsibilities: Ensure strict adherence to RBI and SEBI guidelines.Job Overview: Compliance OfficerOur organization is seeking a highly skilled Compliance Officer to ensure adherence to regulatory requirements, support governance processes, manage audits and inspections, and provide compliance guidance to senior leadership and board-level committees....
-
Regulatory Compliance Specialist
4 days ago
Jodhpur, Rajasthan, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000Job Title: Regulatory Compliance SpecialistThe role of a Regulatory Compliance Specialist plays a vital part in the success of our business. This individual will be responsible for ensuring our financial products comply with regulatory requirements and laws.Key Responsibilities:Implement and monitor RBI, SEBI, FEMA, and other regulatory guidelines relevant...
-
Jodhpur, Rajasthan, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000Job Title:Compliance Expert and Governance ProfessionalRole Description:This is a full-time on-site position located in Noida. As the Compliance Expert and Governance Professional, you will be responsible for ensuring compliance with legal and statutory requirements. Your day-to-day tasks will include maintaining statutory records, organizing board meetings,...
-
Senior Regulatory Compliance Officer
4 days ago
Jodhpur, Rajasthan, India beBeeRegulatory Full time ₹ 2,00,00,000 - ₹ 2,80,00,000We are seeking a skilled Regulatory Specialist to join our team.About the RoleThis is an exciting opportunity to work within a dynamic and global team that manages supervisory activities of regulators and related developments across regions.Key Responsibilities:Manage and coordinate regulatory examinations (logging information requests, preparing decks,...
-
Senior Regulatory Compliance Officer
4 days ago
Jodhpur, Rajasthan, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,20,00,000Regulatory Operations SpecialistPurpose of the Job:This is a senior role requiring a detail-oriented and experienced professional to manage regulatory reporting for our banking operations.Main Responsibilities:Conduct comprehensive audits and compliance checks to ensure adherence to regulatory standards, including KYC/AML guidelines.Monitor and implement...
-
Regulatory Compliance Manager
1 week ago
Jodhpur, Rajasthan, India beBeeRegulatory Full time ₹ 18,00,000 - ₹ 25,00,000Job Title">This position oversees the management of critical regulatory activities, ensuring compliance with USFDA submissions, including ANDAs. Key responsibilities include leading and managing the preparation, review, and filing of regulatory submissions, collaborating with cross-functional teams to gather necessary documentation, and providing strategic...
-
Jodhpur, Rajasthan, India beBeePublishing Full time ₹ 15,00,000 - ₹ 25,00,000Our ideal candidate is a highly skilled Regulatory Publishing Expert with extensive experience in managing BLA submissions in eCTD format using Veeva Vault eCTD Publishing.Key Responsibilities:eCTD Submission Management: Prepare, compile, and publish regulatory documents according to global health authority requirements.Regulatory Compliance: Ensure...
-
Compliance Expert
4 days ago
Jodhpur, Rajasthan, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 22,00,000Compliance Leadership RoleThe role of a Compliance Manager entails ensuring organizational compliance with pertinent regulations and guidelines. Key responsibilities include:Adhering to SEBI AIF, PMS, and Fixed Income regulations.Developing and implementing compliance protocols and procedures.Maintaining secretarial records, statutory books, and...
