Compliance AnalystVARITE INC • Dombivli, Republic Of India, IN
No longer accepting applications
Compliance Analyst
VARITE INC • Dombivli, Republic Of India, IN
1 day ago
Job descriptionReviewing 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. Routine Follow-Up : Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance. This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.
Qualifications :
- Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous.
- Strong attention to detail, analytical skills, and problem-solving capabilities.
- Ability to multi-task and prioritize across multiple projects and assignments;
- Strong communication skills
- A relevant degree in finance, law, business, or a related field is helpful but not a pre-requisite
must be able to deliverand meet timelines in a fast-paced global project environment.
Create a job alert for this search
Compliance Analyst • Dombivli, Republic Of India, IN
Related jobs
Certivo turns regulatory evidence into market access.Our AI, CORA, automates supplier outreach, data extraction, and rule checks, then assembles market-ready packets mapped to every product × site ...Show more
JP Morgan Chase - Analyst - Compliance & Operations Risk Test Specialist
JP Morgan Chase • Mumbai, India
Description : Elevate your career by joining our team, where your analytical skills will drive impactful results in compliance and risk management.
As a Compliance and Operations Risk Test Specialist...Show more
Last updated: 2 days ago • Promoted
Marketing Compliance
CES • thane, maharashtra, in
We’re currently looking for an Analyst / Team Lead / AM - Marketing Compliance and I think you could be a good fit.We are looking for 6+ years of experience in Marketing Compliance, I’d like to tell y...Show more
Last updated: 30+ days ago • Promoted
Decimal Point Analytics - Investment Compliance Analyst
Decimal Point Analytics • Mumbai, India
We are seeking a detail-oriented and analytical Investment Compliance Analyst to join our team.The ideal candidate will have a strong understanding of investment instruments and the ability to inte...Show more
Last updated: 30+ days ago • Promoted
Investment Compliance Analyst
Confidential • Mumbai, India
The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively.
This role requires hands-on experience in inv...Show more
Last updated: 14 days ago • Promoted
Settlement Analyst
eClerx • Mumbai, Maharashtra, India
We have a Walk-In drive scheduled on the 14th & 15th Nov for Security Settlements.Candidates having relevant 2-10 years of experience can attend the below drive.
Mindspace Airoli, Thane Belapur road...Show more
Last updated: 1 day ago • Promoted
Process and Compliance Analyst
Innodata Inc. • Kalyan-Dombivli, IN
The Process and Compliance Analyst is a key contributor to driving operational excellence, regulatory compliance, and continuous improvement across the organization.
This role sits at the intersecti...Show more
Last updated: 4 days ago • Promoted
Fraud & Payments Risk Analyst - 50820
Turing • Mumbai, IN
Based in San Francisco, California, Turing is the world’s leading.AI labs and a trusted partner for global enterprises deploying advanced AI systems.
Turing supports customers in two ways : first, by...Show more
Last updated: 5 days ago • Promoted
Compliance Engineer - Sustainability Compliance (Remote)
Certivo • Mumbai, IN
Remote
Last updated: 21 days ago • Promoted
Loss Prevention Analyst
Relay Human Cloud India • thane, maharashtra, in
Relay Human Cloud is a young & dynamic company that helps some of the top US-based companies to expand their team internationally.
Relay is a truly global company having its operations in US, India,...Show more
Last updated: 10 days ago • Promoted
Morningstar - Compliance Analyst
Morningstar • Navi Mumbai, India
The Team : - Morningstar's Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral part of the Compliance program...Show more
Last updated: 23 days ago • Promoted
Compliance Analyst
Confidential • Mumbai
Key Accountabilities and Main Responsibilities.Accurately process, record, review and complete various administrative operations in a timely manner including but not limited to phone calls, corresp...Show more
Last updated: 30+ days ago • Promoted
COI Compliance Analyst
Confidential • Navi Mumbai, Mumbai, India
Compliance Analyst, Conflicts of interest, Global Controls – Mumbai.Morningstar's Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral ...Show more
Last updated: 14 days ago • Promoted
Global Open Source Compliance Manager
Leading GCC • thane, maharashtra, in
Operationalize and maintain OSS compliance framework, including policies, directives, and procedures.Manage and improve tooling for OSS scanning, license analysis, and Software Bill of Materials (S...Show more
Last updated: 4 days ago • Promoted
Junior Compliance and Regulatory Analyst
A B S H & ASSOCIATES • Borivli, Republic Of India, IN
A B S H & ASSOCIATES is a tech-focused Chartered Accountancy (CA) firm, established in 2016 by a team of enthusiastic professionals.
We specialize in providing Consultancy, Audit & Compliance (CAC) ...Show more
Last updated: 2 days ago • Promoted
Data Privacy and Compliance Analyst
Cimpress • Kalyan-Dombivli, IN
We are seeking a self-motivated compliance and data privacy analyst to support National.Pen's & Compliance and Data Privacy Program.
We are looking for an individual familiar with.SOX ITGC complianc...Show more
Last updated: 2 days ago • Promoted
US Federal Contracts Support Analyst
Allwyn Corporation • dombivli, maharashtra, in
We are seeking a detail-oriented and motivated.US Federal Contracts Support Analyst.The role will involve working closely with U.
Federal Acquisition Regulation (FAR), Defense Federal Acquisition Re...Show more
Last updated: 30+ days ago • Promoted
Process And Compliance Analyst
Innodata Inc. • Thāne, Republic Of India, IN
The Process and Compliance Analyst is a key contributor to driving operational excellence, regulatory compliance, and continuous improvement across the organization.
This role sits at the intersecti...Show more
Last updated: 4 days ago • Promoted
Forward Deployed Analyst (Ex-IB / PE / HF / Buyside)
Arcana • Kalyan-Dombivli, IN
Forward-Deployed Analyst – Portfolio Intelligence.Arcana builds institutional-grade analytics for leading hedge funds and asset managers.
We’re hiring exceptional analysts to partner with portfolio ...Show more
Last updated: 30+ days ago • Promoted