Ethics and Compliance Specialist

2 days ago

Bengaluru, Karnataka, India Nasdaq Full time ₹ 9,00,000 - ₹ 12,00,000 per year
Nasdaq is looking for a passionate Ethics and Compliance Project Manager with focus on Ethics & Compliance, to join the Bangalore technology center in India. If Innovation and effectiveness drive you forward this is the place for
you

We are looking for candidates who share those values along with a genuine desire and drive to deliver top technology solutions to today's markets.

The Ethics Program is looking for someone who will engage in outreach to offices to gain understanding of company, inform strategic planning and develop internal network with members of the Ethics Team, partner with
Communications to enhance Ethics Program awareness internally and externally (consistent with Nasdaq branding and customer objectives), partner with to advance culture and values initiatives, and develop
thorough understanding of core policies and Code of Ethics.

Your role and responsibilities:

ETHICS PROGRAM FUNCTIONS

Support execution of Annual Ethics Team Goals, to include:

  • Maintain the Global Ethics Team Escalation Response Framework and assist in maintaining Nasdaq's Watch List and Employee Designation System.
  • Assist in developing Nasdaq's Onboarding and Annual Ethics Trainings, coordinate the launch of newly developed content, and monitor for completion across Nasdaq.
  • Assist the Global Ethics Team Lead in annual updates of Nasdaq's Code of Ethics and related policies.
  • Coordinate Global Ethics Team employee outreach, establishing a cadence for Ethics in Action Webinars and improving Nasdaq's intranet presence.

ETHICS AND COMPLIANCE PROCEDURES

  • Maintain the Global Ethics Team's Escalation Response Framework, monitoring for potential repeated violations of Nasdaq's policies and adjudicating in accordance with the Escalation Response Framework.
  • Assist Global Ethics Team Lead in maintaining and monitoring Nasdaq's Watch List and Employee Designation System.

EDUCATION AND TRAINING

  • Work with Global Ethics Team members to develop, execute and update Ethics Program Training Plan, coordinating with LRR, , Communications, Finance, and Procurement as necessary.
  • Assist in developing classroom, web-based and other media training programs for all employees designed to promote knowledge of the corporate Code of Ethics and related policies.
  • Collaborate with the OGC in development/delivery of training to ensure the training content meet legal, regulatory, and corporate objectives.
  • Coordinate with People Team to monitor and report on Ethics Training completion across Nasdaq.

ANNUAL CODE AND POLICY UPDATES

  • Assist with updating the Code and associated policies for annual review by the appropriate internal committees.
  • Identify emerging issues, changes to business and external requirements, suggest edits, and assist with drafting updates to the Code and other policies.
  • Coordinate stakeholder meetings during review process as appropriate.
  • Coordinate with design team to establish any required final products.

ETHICS OUTREACH

  • Serve as the Project Manager for the creation and execution of the Annual Ethics in Action Training Webinars.
  • Collaborate with members of the Global Ethics Team to identify potential topics for the monthly webinars; acquire input from members of the Global Ethics Team and Team for review.
  • Work with counterparts in Communications and to coordinate topics, scheduling, webinar creation, and other planned communications.
  • Manage Global Ethics Team internal intranet site to improve accessibility and ease of use for Nasdaq employees in navigating Nasdaq's Ethics and Compliance Program.

We expect you to have:

  • At least 7 years of experience.
  • BA/BS Degree qualified in other related discipline, or equivalent work experience.
  • Effectiveness in desktop project management tools including Excel

Come as You Are

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.

  • Ethics and Compliance Specialist

    2 weeks ago

    Bengaluru, Karnataka, India NASDAQ Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Nasdaq is looking for a passionate Ethics and Compliance Project Manager with focus on Ethics & Compliance, to join the Bangalore technology center in India. If Innovation and effectiveness drive you forward this is the place foryou We are looking for candidates who share those values along with a genuine desire and drive to deliver top technology solutions...

  • Financial Compliance Specialist

    2 weeks ago

    Bengaluru, Karnataka, India beBeeFinancial Full time ₹ 10,00,000 - ₹ 15,00,000

    Financial Compliance SpecialistWe're seeking a highly skilled and ambitious professional to join our team as a Financial Compliance Specialist.The ideal candidate will have excellent communication skills, a strong work ethic, and a keen eye for detail. They will be responsible for ensuring the accurate and timely completion of financial tasks, including GST...

  • Data Ethics Specialist

    2 weeks ago

    Bengaluru, Karnataka, India beBeeEthics Full time ₹ 15,00,000 - ₹ 28,00,000

    Job Description:As a Responsible AI Engineer, you will assess AI systems for adherence to predefined thresholds and benchmarks related to responsible, ethical, and sustainable practices. You will design and implement technology mitigation strategies for systems to ensure ethical and responsible standards are achieved. Your typical day will involve evaluating...

  • Compliance Officer

    2 weeks ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000

    Compliance SpecialistThis role requires a strong understanding of compliance regulations and procedures to ensure adherence to company policies and regulatory requirements.Responsibilities:Review and Approve Employee ActivityMonitor Employee TradesLiaise with Country Compliance OfficersDevelop and Review ProceduresPrepare MI and Track KPIsManage Analyst...

  • Compliance Specialist

    2 weeks ago

    Bengaluru, Karnataka, India BitGo Full time

    Job DescriptionBitGo is the leading infrastructure provider of digital asset solutions, delivering custody, wallets, staking, trading, financing, and settlement services from regulated cold storage. Since our founding in 2013, we have focused on enabling our clients to securely navigate the digital asset space. With a global presence and multiple Trust...

  • A Leader in Compliance Operations

    2 weeks ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 5,00,000 - ₹ 15,00,000

    **Job Title:** Compliance Operations SpecialistWe are seeking a highly skilled and experienced Compliance Operations Specialist to join our team. As a Compliance Operations Specialist, you will be responsible for ensuring the integrity of our operations and compliance with regulatory requirements.Key Responsibilities:Conduct investigations into potential...

  • RAI Compliance

    3 weeks ago

    Bengaluru, Karnataka, India Infosys Limited Full time

    Job DescriptionResponsibilities :1. Develop, refine, and lead the implementation of the organization's Responsible AI (RAI) compliance program, aligning it with regulatory requirements and ethical best practices. 2. Design and implement governance frameworks that ensure ethical AI development, deployment, and monitoring. 3. Collaborate with legal and...

  • IT Compliance Specialist

    2 weeks ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

    Job Opportunity: IT Compliance SpecialistAs an IT Compliance Specialist, you will play a crucial role in ensuring our company's technical excellence and strategic partnerships with Oracle and Salesforce. Your key responsibilities will include ensuring compliance with regulatory guidelines, creating reports for multiple audits, and submitting them to...

  • Compliance Specialist

    4 weeks ago

    Bengaluru, Karnataka, India NKlusive Full time

    Position: Compliance SpecialistNK Realtors, is one of the largest vertically integrated real estate service providers in Indiasince the last 40 years. Headquartered in Kolkata, the company is well known for its deepemployee centric approach NK Realtors is easily one of the best organizations to work forand build careers. With the real estate industry on the...

  • Compliance Specialist

    2 weeks ago

    Bengaluru, Karnataka, India beBeeRiskGovernance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

    Compliance Specialist - Risk Governance ExpertThe role of a Compliance Specialist is pivotal in maintaining a robust and compliant environment within an organization. As a key member of the Internal Controls team, this position is responsible for ensuring adherence to regulatory standards and internal policies.Job Description:• Drive assessment routines to...