Regulatory Affairs Specialist

1 day ago

Gandhinagar, Gujarat, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 21,00,000
Senior Compliance Professional Role

We seek a meticulous and proactive individual to assume the position of Senior Compliance Specialist. The ideal candidate will play a pivotal role in ensuring adherence to regulatory standards and internal policies.

Key Responsibilities:
  • Employee Trading Oversight
  • The successful applicant will conduct thorough reviews of employee trading activities, ensuring strict compliance with regulatory requirements, watchlists, and restricted lists.
  • Trade Clearance Management
  • They will meticulously review and approve employee trade requests prior to execution, ensuring alignment with regulatory guidelines and internal trading policies.
  • Credential and Account Administration
  • The appointed professional will collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions.
  • Non-Approved Broker Review
  • They will perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Monitoring E-Communications
  • Regular monitoring of e-communications within the firm is essential for identifying and addressing potential breaches related to Material Non-Public Information (MNPI).
  • Compliance Training Facilitation
  • The designated individual 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.
  • Risk Assessment and Mitigation Strategies
  • Ongoing risk assessments will be conducted to identify emerging compliance challenges and minimize potential compliance risks.
  • Policy Development and Implementation
  • Assistance in developing, implementing, and updating comprehensive compliance policies and procedures will strengthen governance and maintain the organization's reputation.

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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