Associate, Compliance (Testing and Surveillance)

Job Description

PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES

• Conducting forensic, periodic, and transactional testing to ensure adherence to firmcompliance and ethics policies.
• Performing testing of electronic communication messages, social media posts, preclearance of business gifts, business entertainment, outside business activities and political contributions, trade errors, and other compliance policies
• Assisting with analysis, development, and implementation of new and/or enhanced surveillance reviews and processes
• Collaborating with the business and reporting on the progress of corrective action plans
• Maintaining, tracking, and reporting key performance indicators/metrics for Corporate Compliance as assigned.
• Providing high level client service to employees across the global enterprise

QUALIFICATIONS
Education:

• B. Com / M. Com / MBA / CA /Degree in Commerce/Finance
• Work Experience / Knowledge:
• 3 - 6 years of work experience in Corporate Compliance and regulatory environment. Knowledge of financial products is an added advantage.
• General Requirements:
   
• Ability to learn quickly and understand the processes with clarity.
• Strong analytical skills
• Meticulous attention to detail
• Strong analytical skills
• Excellent written, verbal and interpersonal skills
• Open to work flexible hours
• Self-starter who enjoys a team-oriented and collaborative approach
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance systems such as Star Compliance, Global Relay, OMS, Bloomberg  is an added advantage

Reporting Relationships

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.