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Compliance Analyst

Compliance Analyst

VARITE INCAlwar, IN
30+ days ago
Job description
  • Reviewing Employee Disclosures :
  • Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items.
  • This includes account onboarding / set-up formalities with employees and / or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding / in-progress volumes.
  • Reviewing Post-Trade Exceptions :
  • Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards.
  • This involves thorough analysis and documentation to ensure compliance with regulatory requirements.
  • Reviewing Employee Transactions :
  • Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review.
  • Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.
  • Reviewing Terminated Employee Accounts :
  • Examine terminated employee accounts and ensure timely initiation of feed disconnection requests.
  • This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly.
  • Resolving Personal Trading Data Issues :
  • Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors.
  • This requires attention to detail and effective problem-solving skills to ensure data integrity.
  • Supporting the Employee Compliance Policy and Advisory Team :
  • Assist in reviewing team mailboxes to ensure timely allocation of employee queries / requests based on the subject matter of the query / email.
  • This involves prioritizing and categorizing queries to ensure efficient handling and resolution.
  • Reviewing Mailboxes for Employee Responses :
  • Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure / progress on outstanding items.
  • This ensures that all actions are documented and tracked effectively.
  • Routine Follow-Up :
  • Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting.
  • This includes maintaining communication with employees to verify transaction details and ensure compliance.
  • This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.

    • Qualifications :

    • Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous.
    • Strong attention to detail, analytical skills, and problem-solving capabilities.
    • Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment.
    • Strong communication skills
    • A relevant degree in finance, law, business, or a related field is helpful but not a pre-requisite
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    Compliance Analyst • Alwar, IN

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