Analyst

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