Compliance Analyst
21 hours ago
As an Employee Compliance Analyst, your role will involve the following key responsibilities: - Reviewing employee disclosures related to personal trading accounts and taking necessary actions such as setting up feeds, notifying account closures, and following up on outstanding items. - Handling account onboarding formalities with employees and/or brokers, updating trackers to track volumes accurately, and ensuring completion of feed set-up consent formalities and managed account forms. - Reviewing post-trade exceptions to identify potential non-compliance issues, documenting findings, and disposition exceptions according to procedures and documentation standards. - Thorough analysis to ensure compliance with regulatory requirements. - Reviewing employee transaction confirmations and quarterly statements that need the Employee Compliance team's attention and updating employee holdings in the PTA system accurately for record-keeping and compliance with internal policies. - Examining terminated employee accounts and initiating feed disconnection requests in a timely manner, coordinating with relevant departments to ensure all necessary actions are taken promptly. - Resolving personal trading data issues, such as account number mismatches or incorrect security set-ups, to address any data load errors. Attention to detail and effective problem-solving skills will be necessary to maintain data integrity. Qualifications required for this role: - Strong attention to detail. - Effective problem-solving skills. - Knowledge of regulatory requirements related to personal trading. - Ability to coordinate with multiple departments. - Prior experience in employee compliance or a related field is preferred. (Note: No additional details of the company were present in the job description),
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Analyst, Compliance
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Gurgaon, Haryana, India GERSON LEHRMAN GROUP Full timeJob Title - Analyst Compliance Business Unit - Compliance Screening Location - Gurugram Job Summary GLG is currently seeking an Analyst to join our Gurugram India office within the global Compliance department comprised of over 70 professionals In this role you will develop strong actionable business skills - including time management ...
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[3 Days Left] Compliance Analyst I
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Gurgaon, Haryana, India S&P Global Full timeAbout the Role Grade Level for internal use 09The Team The Compliance Analyst I will provide support to Commodity Insights CI central Compliance function in relation to compliance monitoring activities and support of the overall CI Compliance Program with priority to internal email monitoring of appropriate communication between Commodity Insights ...
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Haryana, India WeAddo Full time ₹ 4,00,000 - ₹ 12,00,000 per yearRole OverviewWe are seeking a highly organized, detail-oriented, and process-driven professional to join our team as an Operations Analyst / Process Analyst. This role is central to ensuring operational excellence across the organization by creating, documenting, monitoring and optimizing workflows, while enabling leadership and cross-functional teams to...
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Gurgaon, Haryana, India S&P Global Full timeAbout the Role Grade Level for internal use 08 The Role Senior Analyst - Compliance Services The Team S P is seeking an experienced motivated Analyst to support the routine data reconciliation function within the Compliance Services group The individual will be responsible for designated client funds covered by the Compliance Services...
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Gurgaon, Haryana, India American Express Full timeAt American Express our culture is built on a 175-year history of innovation shared and Leadership Behaviors and an unwavering commitment to back our customers communities and colleagues As part of Team Amex you ll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills ...
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Gurgaon, Haryana, India NatWest Group Full timeJoin us as a Financial Crime Operations Analyst If you have an analytical mind-set and experience of working with know your customer KYC processes this is a fantastic opportunity to join us as a Financial Crime Operations Analyst You ll be delivering financial crime checks for new and existing customers collaborating with colleagues to make sure that...
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Gurgaon, Haryana, India Neolytix Full timePosition Quality Analyst AR US Healthcare RCM Location Onsite Sector 18 Gurugram Shift Night Shift US Hours Company Neolytix About Neolytix Neolytix is a trusted provider of business solutions for healthcare organizations across the United States We specialize in revenue cycle management RCM compliance and business support helping our...
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Analyst Operations Excellence
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Gurgaon, Haryana, India American Express Full timeYou Lead the Way Weve Got Your Back With the right backing people and businesses have the power to progress in incredible ways When you join Team Amex you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers communities and each other Here youll learn and grow as we help you create a career...
