Analyst, Code of Ethics

Primary Responsibilities:

• Personal Trading Policy
• Political Contribution Policy
• Outside Business Activity Policy
• Gift and Entertainment Policy
• Anti-Corruption Policy
• Code of Ethics Policy
• Insider Information Policy
• Conflict of Interest Policy
  

Key Responsibilities

• Understand compliance policies.
• Manage employee profiles for compliance requirements, activate profiles, assign certificates, and follow up with employees for timely task completion.
• Review reported broker accounts, collect, and reconcile broker statements.
• Monitor electronic feeds by liaising with external brokers.
• Monitor and reconcile transaction alerts generated from electronic feeds.
• Review gift and entertainment requests, political contribution requests, private investments, and outside business activities.
• Advise employees on policies and respond to inquiries.
• Ensure timely completion of assigned tasks with minimal supervision.
• Monitor applications for accuracy of automated results.
• Stay self-motivated to upskill according to the changing industry environment.
• Identify gaps and escalate issues in a timely manner.
  

Experience Required

• BCom, BBA, BBM, MBA-Finance, or any degree with 1 to 2 years of corporate experience, with relevant compliance roles.
  

Added Advantages

• Compliance certifications.
• Proficiency in Power BI, Power Automate, Tableau, and Python.
  

General Requirements

• Self-motivated and driven; able to work effectively in a collegial, fast-paced, demanding, and dynamic environment.
• Attention to detail and analytical skills.
• Creative problem solver.
• Good team player.
• Impeccable integrity and trustworthiness.
• Basic MS Excel modeling skills.
• Basic MS PowerPoint skills.
  

Reporting Relationships