Compliance Specialist

5 days ago

Bharatpur, Rajasthan, India beBeeCompliance Full time ₹ 21,90,000 - ₹ 26,35,000
Compliance Officer Position

We are seeking a skilled and detail-oriented Compliance Officer to join our team. The successful candidate will play a critical role in ensuring that our trading activities comply with regulatory standards and internal policies.

The ideal candidate will have a deep understanding of financial products, compliance best practices, and excellent analytical skills. They must also be able to collaborate across departments to maintain the highest standards of corporate governance and ethics.

Main Responsibilities:
  • Employee Trading Compliance: Conduct thorough reviews of employee trading activities to ensure adherence to regulatory requirements, watchlists, and restricted lists.
  • Trade Preclearance Oversight: Enforce a robust trade preclearance process to review and approve employee trade requests prior to execution.
  • Broker and Account Management: Collaborate with investment banks and brokers to establish and maintain employee trading accounts.
  • Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers to verify compliance with our code of ethics and trading regulations.
  • Monitoring E-Communications: Regularly monitor e-communications within the firm to identify potential breaches related to Material Non-Public Information (MNPI).
  • Compliance Training: Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  • Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges and adapt to regulatory changes.
  • Policy Development and Implementation: Assist in developing, implementing, and updating comprehensive compliance policies and procedures.

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