Compliance Manager

5 days ago

Gulbarga, Karnataka, India beBeeCompliance Full time ₹ 1,00,00,000 - ₹ 1,50,00,000
Senior Compliance Professional

Are you a detail-oriented professional with 5+ years of experience in compliance seeking a challenging role? We are looking for a Senior Compliance Specialist to join our organization.

About the Role
  • This is a critical position ensuring that our trading activities and internal practices comply with regulatory standards and internal policies.
  • You will work closely with departments to maintain the highest standards of corporate governance and ethics.

Key Responsibilities:

  1. Employee Trading Compliance: Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements.
  2. Trade Preclearance Oversight: Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution.
  3. Broker and Account Management: Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts.
  4. Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers, verifying compliance with firm standards.
  5. Monitoring E-Communications: Regularly monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).
  6. Compliance Training: Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  7. Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges.
  8. Policy Development and Implementation: Assist in the development, implementation, and updating of comprehensive compliance policies and procedures.

Requirements:

  • 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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