Regulatory Compliance Manager

7 days ago

Lucknow, Uttar Pradesh, India beBeeCompliance Full time ₹ 75,00,000 - ₹ 1,50,00,000

We are seeking an experienced Regulatory Compliance Manager to join our team. The ideal candidate will play a critical role in ensuring that our trading activities and internal practices comply with regulatory standards and internal policies.

Job Overview:

This is a detail-oriented role that 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.

Key Responsibilities:

  • Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements.
  • Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines.
  • Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts.
  • Perform detailed analyses of statements from non-approved brokers, verifying compliance with our code of ethics and trading regulations.
  • Regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI).
  • Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.

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.

Benefits:

This role offers the opportunity to work with a talented team of professionals, driving business growth and delivering exceptional results.

We offer a competitive compensation package, including a base salary, bonus, and comprehensive benefits program.

Opportunities for professional development and career advancement are also available.

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