Senior Compliance Specialist

3 days ago

Mount Abu, Rajasthan, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Title:

Sr Compliance Officer

We are seeking a detail-oriented and proactive professional to join our team as Sr Compliance Officer.

Key Responsibilities:

  • 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.
  • 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).
  • 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.
  • Policy Development and Implementation: Assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance and ensure operational integrity.

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.

About This Role:

This role is responsible for ensuring that the firm's trading activities and internal practices comply with regulatory standards and internal policies. The ideal candidate will have a strong background in compliance and be able to effectively communicate complex regulatory requirements to employees.

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