Compliance Manager, Compliance
19 hours ago
- General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
- Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
- Drive continuous improvement of the surveillance framework including refinement and calibration
- Contribute to the implementation of strategic department projects including global and regional initiatives.
- Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation
- Assist in the production of effective management information reports for Senior Management
- Contribute to team discussions, investigations and knowledge acquisition
- Good understanding of the trade surveillance terminologies and types of market manipulations.
- Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance
- Bachelor's or Master's in Commerce and Finance/Banking.
- 6-10 years of relevant experience in handling compliance tasks, candidates with less experience will be considered as Associate
- Experience in building relationships with stakeholders' Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
- Familiarity with SMARTS / Complysci, PTCC.
- Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
- Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
- Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.
- Strong compliance mindset, confidence to question the 'status quo' and challenge stakeholders when the responses are not satisfactory.
- Investigative skills and flexible to learn other aspects of compliance.
- Attention to detail and process oriented
- Self-motivated, desire to be challenged and eager to learn
- Proficient in Word and Excel
- Good prioritization, organizational and multi-tasking skills
- Good interpersonal skills and excellent written/oral communication skills.
- Previous people management experience is preferable
Stay informed on CITIC CLSA Job Opportunities
Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.
-
Hr Compliance Manager
6 days ago
Pune, Maharashtra, India Iquest Management Consultants Full time ₹ 9,00,000 - ₹ 12,00,000 per yearRequirement : HR compliance (Generalist)Experience: 8+ years YearsLocation: Baner, Pune (6 Days Working)CTC Budget: 8-11LPANotice period: who can join with in 1 monthPosition: 1 Key Responsibilities• Manage statutory compliances (PF, ESIC, Labour Laws) for construction industry.• Support HR policies, employee life cycle management & HRMS operations.•...
-
Email and Marketing Automation Executive
4 days ago
Pune, Maharashtra, India Global Product Compliance Full time ₹ 1,20,000 - ₹ 5,44,000 per yearRole Title:Email and Marketing Automation ExecutiveReports to Role (Title):Email MarketingLocation:PuneScope:Lead & execute email & WhatsApp marketing campaigns and marketing automation strategies for our brands. Drive lead nurturing & customer engagement through sophisticated automation workflows and data-driven email marketing.Job Description:Location:...
-
Manager – Legal, Compliance
14 hours ago
Pune, Maharashtra, India Avana Companies Full time ₹ 12,00,000 - ₹ 36,00,000 per yearRole OverviewAs a newly established NBFC under the Reserve Bank of India (RBI), we are looking for a seasoned Compliance professional with 10–12 years of experience in regulatory compliance, legal oversight, and internal control systems. This role involves laying the foundation for a compliant, ethical, and governance-led organization, in line with RBI...
-
Manager - Legal Compliance
6 days ago
Pune, Maharashtra, India MASTERCARD Full time ₹ 9,00,000 - ₹ 12,00,000 per yearJob Description Our Purpose Mastercard powers economies and empowers people in 200 countries and territories worldwide. Together with our customers, were helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and...
-
Compliance Specialist
6 days ago
Pune, Maharashtra, India Unnati Motors Full time ₹ 8,00,000 - ₹ 12,00,000 per yearCompany DescriptionWe suggest you enter details here.Role DescriptionThis is a full-time on-site role for a Compliance Specialist located in Pune. The Compliance Specialist will be responsible for ensuring that the company's operations and procedures comply with legal regulations and internal policies. Day-to-day tasks include monitoring compliance programs,...
-
Manager - Legal Compliance
24 hours ago
Pune, Maharashtra, India Mastercard Full time ₹ 5,00,000 - ₹ 12,00,000 per yearOur PurposeMastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships...
-
Environmental Compliance Manager
18 hours ago
Pune, Maharashtra, India Kumar Corp Full time ₹ 2,50,000 - ₹ 7,50,000 per yearCompany DescriptionKumar Corp is a well-diversified and value-driven enterprise, celebrating 59 years of excellence. With over 140 projects successfully completed, the company boasts more than 42,000 families as our true brand ambassadors.Role DescriptionThis is a full-time on-site role for an Environmental Compliance Manager, located in Pune. The...
-
Lead - Compliance
17 hours ago
Pune, Maharashtra, India Bajaj Finance Full time ₹ 9,00,000 - ₹ 12,00,000 per yearJob PurposeCompliance testing Lead a team for Compliance testing of various products and processes. Develop a compliance testing plan, determine scope & testing methodology, lead a team for execution, discuss & obtain responses with action plan and present the results to Senior Management.Duties and ResponsibilitiesCompliance testing and product...
-
Pune, Maharashtra, India Global Product Compliance Full time ₹ 9,00,000 - ₹ 12,00,000 per yearRole Title:Content Marketing and Social Media SpecialistReports to Role (Title):Content MarketingLocation:PuneScope:Location: Pune (On-site)Job Type: Full timeExperience: 3+ yearsJob Description:We're seeking a dynamic Content Marketing & Social Media Specialist to drive our digital content strategy across multiple channels. This role combines technical SEO...
-
IT/Cyber compliance
2 weeks ago
Pune, Maharashtra, India Nityo Infotech Full time ₹ 1,20,000 - ₹ 3,00,000 per yearProject roles and responsibilitiesGoals and deliverablesKey responsibilities:1. Project ManagementLead IT and Cyber compliance/quality projects (e.g., ISO 27001, NIS 2) operational implementation.Develop, maintain, and ensure the timely execution of detailed project action plans, defining milestones, deliverables, and timelines.Facilitate project kick-off...