Financial Regulatory Expert

1 week ago

Belgaum, Karnataka, India beBeeCompliance Full time ₹ 20,00,000 - ₹ 29,99,999
Senior Compliance Specialist

We are seeking an exceptional professional to fill the role of Senior Compliance Specialist.

The ideal candidate will possess a strong understanding of financial regulations, excellent analytical skills, and the ability to collaborate effectively with various departments to ensure compliance with regulatory standards and internal policies.

This position plays a critical role in maintaining the highest standards of corporate governance and ethics within our organization.

Main Responsibilities:

  • Conduct thorough reviews of employee trading activities to ensure adherence to regulatory requirements, watchlists, and restricted lists.
  • Enforce a robust trade preclearance process to ensure alignment with regulatory guidelines and internal trading policies.
  • Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts.
  • Perform detailed analyses of statements from non-approved brokers to verify compliance with the code of ethics and trading regulations.
  • Regularly monitor e-communications within the firm to identify potential breaches related to Material Non-Public Information (MNPI).
  • Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.
  • Conduct ongoing risk assessments to identify emerging compliance challenges and develop strategies to mitigate risks.
  • Assist in the development, implementation, and updating of comprehensive compliance policies and procedures.

Requirements:

  • 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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