2.0 - 6.0 years

0 Lacs

haryana

On-site

You will be responsible for reviewing employee disclosures related to personal trading accounts and taking necessary actions such as setting up feeds, notifying account closures, and following up on outstanding items. This includes handling account onboarding formalities with employees and/or brokers, updating trackers to track volumes accurately, and ensuring completion of feed set-up consent formalities and managed account forms. You will also need to review post-trade exceptions to identify potential non-compliance issues, document findings, and disposition exceptions according to procedures and documentation standards. This will involve thorough analysis to ensure compliance with regulat...

Posted 3 months ago

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Compliance Analyst Russell Tobin

2 - 4 years

6 - 12 Lacs

Gurugram

Hybrid

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identi...

Posted 5 months ago

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