4.0 - 8.0 years

0 Lacs

pune, maharashtra

On-site

As a Compliance Officer, your role involves conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation. You will be responsible for investigating and closing out monitoring alerts promptly, ensuring that significant issues are fully investigated and escalated when necessary. Your contribution to driving continuous improvement of the surveillance framework, including refinement and calibration, is crucial. Additionally, you will play a key role in implementing strategic department projects, including global and regional initiatives. Key Responsibilities: - Review and investigate alerts r...

Posted 3 days ago

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Senior Process Executive For Business conduct Cognizant

2.0 - 4.0 years

3 - 6 Lacs

hyderabad

Work from Office

Job Description: Cognizant Team to Assist Business Conduct Compliance Job Requirements Prior experience with a US advisor or broker/dealer firm strongly preferred. Experience using the ComplySci Compliance software system will be critical to success, but experience with competitor systems such as My Compliance Office or Star Compliance will also be helpful. Proficiency in Excel, Word and PowerPoint. Ability to interface effectively with US employees Responsibilities Employee Account Disclosure, Tracking and Trading 1. Put employee accounts on broker feeds. This will require reading the ComplySci disclosure of new account and then consulting our spreadsheet of instructions for each broker and...

Posted 1 week ago

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