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▷ [3 Days Left] Analyst

Cerberus Capital ManagementIndia

1 day ago

Job description

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

3+ 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

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