Principal Regulatory Specialist

1 day ago

Bellary, Karnataka, India beBeeCompliance Full time ₹ 16,00,000 - ₹ 21,16,000
Compliance Professional

We are seeking a detail-oriented and proactive compliance expert to assume a critical role in ensuring the firm's trading activities and internal practices adhere to regulatory standards.

The successful candidate will conduct thorough reviews of employee trading activities, enforce a robust trade preclearance process, and collaborate with investment banks to establish and maintain employee trading accounts.

A key aspect of this position is monitoring e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).

The ideal candidate will possess a strong understanding of regulatory requirements, watchlists, and restricted lists.

This role requires excellent written and verbal communication skills, with the ability to collaborate effectively across departments.

The qualifications for this position include:

  • 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 analytical and problem-solving skills are essential for success in this role. The selected candidate will be responsible for analyzing complex data, identifying trends, and developing effective solutions to ensure regulatory compliance.

Key Responsibilities:
  • Employee Trading Compliance: Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists.
  • Trade Preclearance Oversight: Enforce a robust trade preclearance process, reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines.
  • Broker and Account Management: Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions.
  • Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers, verifying compliance with regulatory requirements.
  • Monitoring E-Communications: Regularly monitor e-communications within the firm to identify and address potential breaches related to Material Non-Public Information (MNPI).

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