Compliance Analyst

2 weeks ago

Gurgaon, Haryana, India VARITE INC Full time ₹ 2,50,000 - ₹ 7,50,000 per year

Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes.

Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements.

Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.

Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly.

Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity.

Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution.

Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively.

  • Analyst, Compliance

    1 week ago

    Gurgaon, Haryana, India GLG Full time ₹ 5,00,000 - ₹ 12,00,000 per year

    Job 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,...

  • Analyst, Compliance

    1 week ago

    Gurgaon, Haryana, India GLG Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    Job 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,...

  • Analyst, Compliance

    7 days ago

    Gurgaon, Haryana, India GLG Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    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, prioritization, communication,...

  • IND Analyst – Compliance

    7 days ago

    Gurgaon, Haryana, India Aon Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Job Title-IND Analyst ISolution Line-AON Shared ServicesPosition type-Full TimeWork Location-GurgaonWorking style-HybridSub ARL -8.1Cab Facility-YesShift Time -8 am to 5 pm" or "10 am to 7 pmPeople Manager role:NoRequired Education And Certifications Critical For The Role-Graduate in any streamRequired Years Of Experience -1-2 years prior experience in...

  • Information Compliance Analyst

    2 weeks ago

    Gurgaon, Haryana, India S&P Global Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About The RoleGrade Level (for internal use):09The Team:The Data Privacy, Protection, and Information Governance compliance team in Legal manage S&P Global sensitive, personal, and non-personal information. We accomplish this through implementation of policies, processes, controls, and metrics that promote compliance with global regulations.The Impact:The...

  • Analyst-Compliance

    7 days ago

    Gurgaon, Haryana, India American Express Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    At American Express, our culture is built on a 175-year history of innovation, shared values 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...

  • Analyst/Sr Analyst

    2 weeks ago

    Gurgaon, Haryana, India NLB Services Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Job Title- Analyst/ Sr Analyst Location: Gurgaon Job Summary: We are looking for motivated and detail-oriented professionals to join our compliance team as Analysts/Senior Analysts. The role involves performing wire and customer screening activities, ensuring regulatory compliance, conducting quality assurance (QA) reviews, and preparing performance reports....

  • Analyst-Compliance

    1 week ago

    Gurgaon, Haryana, India American Express Full time ₹ 10,00,000 - ₹ 15,00,000 per year

    At American Express, our culture is built on a 175-year history of innovation, shared values 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...

  • Analyst - Compliance

    7 days ago

    Gurgaon, Haryana, India American Express Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    At American Express, our culture is built on a 175-year history of innovation, shared values 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...

  • Analyst - Compliance

    7 days ago

    Gurgaon, Haryana, India American Express Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    At American Express, our culture is built on a 175-year history of innovation, shared values 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...