3.0 - 5.0 years

0 Lacs

mumbai, maharashtra, india

On-site

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 survei...

Posted 1 month ago

AI Match Score

Apply

Quality Assurance Specialist Naukri E-hire

2.0 - 6.0 years

1 - 5 Lacs

Bengaluru

Work from Office

Roles and Responsibilities : Conduct regular audits to identify potential data loss risks and develop strategies to mitigate them. Collaborate with IT teams to implement DLP solutions, ensuring compliance with industry regulations. Develop and maintain proof points for data protection policies, procedures, and controls. Provide training on data loss prevention best practices to employees across the organization. Job Requirements : 2-6 years of experience in Data Loss Prevention (DLP) or related field. Strong understanding of email security, ServiceNow, and other relevant technologies. Proven track record in conducting audits and developing effective risk management plans.

Posted 3 months ago

AI Match Score

Apply

Senior Associate/ Delivery Lead- Control room and Chaperoning Acuity Knowledge Partners

5.0 - 7.0 years

5 - 10 Lacs

Bengaluru

Work from Office

Job summary This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning , hedge fund procedures, data room access administration and Vendor checks One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients Key responsibilities: Being proficient in all key compliance control room activities such as watch/restricted list maintenance, wall crossing, insider lists, information barrie...

Posted 4 months ago

AI Match Score

Apply

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.