Regulatory Affairs Lead

1 day ago


Bhavnagar, Gujarat, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Senior Compliance Specialist Job Description

The role of Senior Compliance Specialist is a critical component in ensuring the trading activities and internal practices comply with regulatory standards and internal policies.

  • The successful candidate will be responsible for conducting thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements and compliance protocols.
  • This includes enforcing a robust trade preclearance process, reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and internal trading policies.
  • Collaboration with investment banks and approved brokers will be necessary to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions.
  • The specialist will also perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm's code of ethics and trading regulations.
  • Additionally, regular monitoring of e-communications within the firm will be required to identify and address potential breaches related to Material Non-Public Information (MNPI).
Qualifications and Skills Required:
  • 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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