Compliance AnalystVARITE INC • Gurugram, Haryana, India
Compliance Analyst
VARITE INC • Gurugram, Haryana, India
30+ days 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; must be able to deliver and meet timelines in a fast-paced global project environment.
- Strong communication skills
- A relevant degree in finance, law, business, or a related field is helpful but not a pre-requisite
Create a job alert for this search
Compliance Analyst • Gurugram, Haryana, India
Related jobs
Conduct technical quality assurance of recorded interviews, watching assigned recordings end-to-end.Flag and annotate issues such as premature termination, audio / video glitches, and other anomalies...Show more
Conduct technical quality assurance of recorded interviews, watching assigned recordings end-to-end.Flag and annotate issues such as premature termination, audio / video glitches, and other anomalies...Show more
Senior Analyst / Team Lead - SOX Compliance and Reporting
Golden Opportunities • Gurugram, Haryana, India
Job Title - Senior Analyst / Team Lead - SOX Compliance and Reporting.Candidate expectation and Roles & Responsibilities.
CA Qualified Professional with the Post Qualification Experience of minimum ...Show more
Last updated: 1 hour ago • Promoted • New!
Tech-Functional Business Analyst – Safety Systems (Argus, DLP, Case Processing)
vueverse. • Delhi, Delhi, India
Role Summary We are seeking a Senior IT / Tech-Functional Business Analyst with strong expertise in Pharmacovigilance (PV) safety systems, particularly Argus Safety , DLP , and Case Processing w...Show more
Last updated: 20 hours ago • Promoted • New!
Fraud & Payments Risk Analyst - 50820
Turing • Delhi, 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: 12 days ago • Promoted
Security Analyst
GMG • Gurugram, Haryana, India
GMG is a global well-being company retailing, distributing and manufacturing a portfolio of leading international and home-grown brands across sport, everyday goods, health and beauty, properties a...Show more
Last updated: 1 hour ago • Promoted • New!
Fraud & Risk Data Analyst
Alaan الآن • Delhi, India
The ideal candidate will use their passion for big data and analytics to provide insights to the business covering a range of topics.
They will be responsible for conducting both recurring and ad ho...Show more
Last updated: 13 days ago • Promoted
Security Analyst
Ericsson • Noida, Uttar Pradesh, India
At Ericsson, We are seeking a skilled.Managed Security Services team.You will be responsible for designing, implementing, managing, and supporting cybersecurity solutions, with a focus on SIEM tool...Show more
Last updated: 2 days ago • Promoted
Sr Analyst / Analyst, Trust & Safety Operations
Cint • Gurugram, Haryana, India
Cint is a pioneer in research technology (ResTech).Our customers use the Cint platform to post questions and get answers from real people to build business strategies, confidently publish research,...Show more
Last updated: 1 hour ago • Promoted • New!
Tech Risk Analyst
DigiHelic Solutions Pvt. Ltd. • Delhi, India
Job Role : Tech Risk Analyst Experience : 10 Years Location : Pune.Strong experience in IT compliance & IAM (Identity & Access Management) – minimum 5+ years.
Hands-on knowledge of credential lifecycle...Show more
Last updated: 2 days ago • Promoted
Credit Risk Analyst with SAS
EXL • Gurugram, Haryana, India
Note : Need only immediate or early joiners max up to 30 days.Required Skills & Qualifications : .Bachelor's or Master’s degree in Statistics, Mathematics, Economics, Finance, or related field.Strong ...Show more
Last updated: 1 hour ago • Promoted • New!
Senior Compliance Engineer
Skyhigh Security • Delhi, India
About Skyhigh Security : Skyhigh Security is a dynamic, fast-paced, cloud company that is a leader in the security industry.
Our mission is to protect the world’s data, and because of this, we live a...Show more
Last updated: 30+ days ago • Promoted
Tech-Functional Business Analyst – Signal & Risk Management (Pharmacovigilance)
vueverse. • Ghaziabad, IN
We are looking for a highly experienced IT / Tech-Functional Business Analyst (12+ years) with deep expertise in Pharmacovigilance (PV) systems, specifically Signal Management and Risk Management mod...Show more
Last updated: 1 day ago • Promoted
Fraud Data Analyst
Airtel Payments Bank • Gurugram, Haryana, India
Develop Fraud Detection Models : Design and deploy predictive analytics models and machine learning algorithms to identify suspicious activities and patterns.
Enhance Systems : Continuously optimize f...Show more
Last updated: 1 hour ago • Promoted • New!
QA Analyst (Remote)
Taskify AI • Ghaziabad, IN
Remote
Last updated: 2 days ago • Promoted
QA Analyst (Remote)
Quik Hire • Delhi, IN
Remote
Last updated: 2 days ago • Promoted
Credit Risk Analyst
Air8 • New Delhi, Delhi, India
An LFX digital venture, Air8 is building an insight-based technology platform that capitalizes on Li & Fung’s ecosystem with more than 118 years of supply chain experience, connecting suppliers, bu...Show more
Last updated: 2 days ago • Promoted
Process and Compliance Analyst
Innodata Inc. • Delhi, 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: 11 days ago • Promoted
Fraud & Risk Analyst
EXL • Gurugram, Haryana, India
We are seeking a motivated and detail-oriented Fraud & Risk Analyst to join our team.The ideal candidate will assist in identifying and mitigating fraudulent activities, analyzing transaction data,...Show more
Last updated: 30+ days ago • Promoted
Security Analyst
Shiv Nadar School • Noida, Uttar Pradesh, India
A Cybersecurity Analyst is responsible for identifying, analyzing, and mitigating security threats to an organization's computer systems, networks, and data.
They work to ensure the confidentiality,...Show more
Last updated: 30+ days ago • Promoted