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

• 3+ years of relevant compliance, audit or risk management experience, ideally supporting a U.S.-based registered investment adviser
• Some understanding of U.S. financial regulations, especially the Investment Advisers Act of 1940
• Experience with order management systems or similar trading-related data warehouse platforms, compliance monitoring tools, trade surveillance platforms and data analytics
• Excellent analytical, organizational and communication skills with a strong attention to detail