Compliance Analyst
3 days ago
Let’s be #BrilliantTogether
ISS STOXX is actively looking for a Compliance Analyst to join the Mumbai Team (Goregaon East).
Overview:
ISS' Compliance department is looking to add a Compliance Analyst to the team. This team member will primarily participate in the surveillance of security transactions and electronic communications to help ensure compliance with internal policies. The candidate will also be required to perform additional monitoring duties to maintain compliance with company policies and regulations. When potentially anomalous behavior is detected, the individual will be responsible for escalating the activity and working collaboratively with the Compliance team to determine the appropriate resolution of the matter. The candidate must be able to work as part of a small team, be accountable and have a strong attention to detail. The position will be located in ISS' Mumbai office.
Responsibilities:
Review and analyze alerts and/or reports relating employee trading activity for violations of the company’s policies
Perform regular reviews of internal electronic communication and investigate issues that arise
Perform surveillance on employees’ social media and outside business activities to assess any potential conflict of interest or detect any policy violation
Escalate issues proactively and timely
Communicate with employees to gather information and resolve compliance violations.
Recommend disciplinary actions when appropriate.
Properly document the review of surveillance findings in the compliance system and formally close out system alerts
Perform trend analysis on trade data to detect any potential problems
Perform maintenance on compliance system and follow up on open system-generated alerts
Assist in regulatory and internal investigations
High degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity
Qualifications:
Bachelor's degree or equivalent with 1+ years of relevant work experience required
Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution desired
Experience monitoring Code of Ethics reporting in an automated compliance system desired
Experience with compliance reporting systems a plus (e.g. Protegent PTA, ComplySci, etc.)
Advanced knowledge of Microsoft Office Suite
Ability to be proactive and follow up to resolve issues
Demonstrate sound judgment and apply logical and critical thought process
Excellent research and analytical skills
Excellent verbal and written communication skills
Strong organization skills and attention to detail
Proficient in English
Ability to work flexible working hours
#ANALYST
#Legal
#LI-PS1
What you can expect from us
Our people are the moving force behind ISS STOXX. We are dedicated to hiring the best, most talented people in our industry and empowering them with the resources and support to enhance their career, health, financial and personal well-being.
We are committed to fostering, cultivating, and preserving a culture of diversity and inclusion. We are invested in our people and are working every day to ensure a diverse, equitable, and inclusive workplace.
Let’s empower, collaborate, and inspire one another.
Let’s be #BrilliantTogether .
About ISS STOXX
ISS STOXX GmbH is a leading provider of research and technology solutions for the financial market. Established in 1985, we offer top-notch benchmark and custom indices globally, helping clients identify investment opportunities and manage portfolio risks. Our services cover corporate governance, sustainability, cyber risk, and fund intelligence. Majority-owned by Deutsche Börse Group, ISS STOXX has over 3,400 professionals in 33 locations worldwide, serving around 6,400 clients, including institutional investors and companies focused on ESG, cyber, and governance risk. Clients trust our expertise to make informed decisions for their stakeholders' benefit.
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Institutional Shareholder Services (“ISS”) is committed to fostering, cultivating, and preserving a culture of diversity and inclusion. It is our policy to prohibit discrimination or harassment against any applicant or employee on the basis of race, color, ethnicity, creed, religion, sex, age, height, weight, citizenship status, national origin, social origin, sexual orientation, gender identity or gender expression, pregnancy status, marital status, familial status, mental or physical disability, veteran status, military service or status, genetic information, or any other characteristic protected by law (referred to as “protected status”). All activities including, but not limited to, recruiting and hiring, recruitment advertising, promotions, performance appraisals, training, job assignments, compensation, demotions, transfers, terminations (including layoffs), benefits, and other terms, conditions, and privileges of employment, are and will be administered on a non-discriminatory basis, consistent with all applicable federal, state, and local requirements.
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