Financial Regulatory Expert

10 hours ago

Gulbarga, Karnataka, India beBeeCompliance Full time ₹ 14,59,400 - ₹ 24,29,900
Job Title: Senior Compliance Specialist

The position involves overseeing employee trading activities to ensure compliance with regulatory standards and internal policies.

  • 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.

The ideal candidate will have a deep understanding of financial products and compliance best practices. This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate effectively across departments to maintain the highest standards of corporate governance and ethics.

Key Responsibilities:

  • 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.
  • 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.

Responsibilities also include non-approved broker oversight, monitoring e-communications, compliance training, risk assessment and mitigation, and policy development and implementation.

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.

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