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▷ Only 24h Left! Analyst
Cerberus Capital ManagementIndia14 hours ago
Job description3+ years of relevant compliance, audit or risk management experience, ideally supporting a U.S.-based registered investment adviser Some understanding of U.S. financial regulations, especially the Investment Advisers Act of 1940 Experience with order management systems or similar trading-related data warehouse platforms, compliance monitoring tools, trade surveillance platforms and data analytics Excellent analytical, organizational and communication skills with a strong attention to detail
Compliance Analyst – Focus on Code of Ethics & Firm trading monitoring and surveillance
Job Location is Mumbai, Goregaon East
Key Responsibilities
- Code of Ethics monitoring
- Onboard / offboard employees to / from our StarCompliance / Financial Tracking System platform
- Assist with preclearance and monitoring tasks related to the Firm’s personal trading policy
- Investigate potential personal trading policy violations, escalating issues and documenting resolution
- Firm Trading / Control room
- Conduct daily trade surveillance, including trade blotter reviews and exception reporting
- Maintain Firm’s list of restricted issuers
- Conduct trade allocation back testing
- Email surveillance
- Assist team with email surveillance and related tasks
Required Qualifications
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