Senior Compliance Specialist

we’re currently looking for an Senior Compliance Analyst / Team Lead / AM / Manager and I think you could be a good fit. We are looking for 5+ years of experience in Compliance - Code of Ethics, I’d like to tell you a little more about this position and learn a few things about you as well. Are you available for a quick call? If so, I’d be happy to set up a call. I’m also happy to coordinate or answer any questions you may have via LinkedIn if you prefer.

Shift Timings : 2;00 PM IST to 11 : 00 PM IST and 6 : 00 PM IST to 3 : 00 AM IST

Job Title : Senior Compliance Analyst / Team Lead / AM / Manager

Location : Remote

Job Overview :

We are seeking a detail-oriented and proactive Senior Compliance Analyst / Team Lead / AM / Manager to join our team. The successful candidate will play a critical role in ensuring that the firm’s trading activities and internal practices comply with regulatory standards and internal policies. The ideal candidate will have an understanding of financial products and compliance best practices. This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.

Key Responsibilities :

Employee Trading Compliance :

Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists in accordance with both external and internal compliance protocols.

Trade Preclearance Oversight :

Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and the firm’s internal trading policies. This includes assessing potential conflicts of interest, ensuring compliance with restricted lists, and mitigating any risks associated with the misuse of Material Non-Public Information (MNPI), thereby safeguarding the integrity of the firm’s trading practices and maintaining regulatory compliance.

Broker and Account Management :

Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring the accurate and timely reporting of transactions in compliance with firm standards.

Non-Approved Broker Oversight :

Perform detailed analyses of statements from non-approved brokers, verifying compliance with the firm’s code of ethics and trading regulations, and work to identify and mitigate potential risks.

Monitoring E-Communications :

Regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI), proactively safeguarding against insider trading concerns.

Compliance Training :

Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations and ensure adherence to best practices in ethical trading and corporate governance.

Risk Assessment and Mitigation :

Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.

Policy Development and Implementation :

Assist in the development, implementation, and updating of comprehensive compliance policies and procedures to strengthen governance, ensure operational integrity, and maintain the firm’s reputation.

Qualifications :

Bachelor’s degree in commerce, finance, Accounting, Business, Law, or a related field.

Minimum of 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.

Strong written and verbal communication skills, with the ability to collaborate effectively across departments.

Proficiency in Microsoft Office Suite and compliance-related software tools.