Please find the job description for Compliance Analyst and let me know your interest on the Same.
Shift Timings: 2:00 PM IST to 11:00 PM IST
Job Title: Analyst - Compliance
Location: Remote/Hyderabad
Job Overview:
We are seeking a detail-oriented and proactive Compliance Analyst 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 a 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
📌 Compliance Analyst (Hyderabad)
🏢 CES
📍 Hyderabad