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