Senior Compliance Specialist

6 days ago

Delhi, India CES Full time

we’re currently looking for an Senior Compliance Analyst/ Team Lead/AM/Manager and I think you could be a good fit. We are looking for 5+ years of experience in Compliance - Code of Ethics, I’d like to tell you a little more about this position and learn a few things about you as well. Are you available for a quick call? If so, I’d be happy to set up a call. I’m also happy to coordinate or answer any questions you may have via LinkedIn if you prefer.Shift Timings: 2;00 PM IST to 11:00 PM IST and 6:00 PM IST to 3:00 AM ISTJob Title: Senior Compliance Analyst/ Team Lead/AM/ManagerLocation: RemoteJob Overview:We are seeking a detail-oriented and proactiveSenior Compliance Analyst/ Team Lead/AM/Managerto join our team. The successful candidate will play a critical role in ensuring that the firm’s trading activities and internal practices comply with regulatory standards and internal policies. The ideal candidate will have an understanding of financial products and compliance best practices. This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.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. This includes assessing potential conflicts of interest, ensuring compliance with restricted lists, and mitigating any risks associated with the misuse of Material Non-Public Information (MNPI), thereby safeguarding the integrity of the firm’s trading practices and maintaining regulatory compliance.Broker and

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