Compliance - Code of Ethics(Surveillance) - Senior Professional KKR

4.0 - 8.0 years

0 Lacs

haryana

On-site

You will be joining a leading global investment firm, KKR, which specializes in alternative asset management, capital markets, and insurance solutions. At KKR, the focus is on generating attractive investment returns through a patient and disciplined approach, employing top-tier professionals, and fostering growth within portfolio companies and communities. The firm sponsors investment funds in private equity, credit, and real assets, along with strategic partnerships managing hedge funds. Moreover, KKR's insurance subsidiaries offer retirement, life, and reinsurance products under the management of Global Atlantic Financial Group. Your role will be within KKR's Gurugram office, where you will provide exceptional services and solutions to internal stakeholders and clients. The office plays a crucial role in enhancing process efficiency and transformation across the organization, embodying KKR's global culture of teamwork and innovation. With multifunctional business capabilities, the Gurugram office contributes significantly to KKR's growth and transformation initiatives. As part of KKR's Compliance function, you will join the Code of Ethics team, responsible for overseeing the Surveillance and Monitoring Program, including Communication Surveillance. Your primary focus will be on monitoring aspects related to conflict of interest, specifically around the Firm's Personal Investment Policy and other policies aimed at mitigating conflicts between the Firm and its employees. Your responsibilities will include real-time and retrospective surveillance of electronic communications like emails, instant messages, and voice recordings using advanced tools. You will identify and analyze suspicious patterns indicative of market abuse, insider trading, conflicts of interest, or other regulatory violations. Additionally, you will collaborate closely with Compliance, Legal, and other stakeholders to escalate findings, facilitate investigations, and implement necessary remedial actions. To excel in this role, you should have 4-6 years of compliance experience, preferably in surveillance and monitoring. A strong understanding of financial markets and instruments, as well as relevant regulations (SEC, FINRA, MiFID II), will be advantageous. You must possess excellent analytical skills, attention to detail, and the ability to work independently in a fast-paced environment. Familiarity with Code of Ethics software and surveillance tools, along with proficiency in Microsoft Excel, PowerPoint, and Word, is preferred. Overall, you are expected to demonstrate the highest levels of integrity, teamwork orientation, and collaboration. Building strong relationships with colleagues, efficient communication skills, and responsiveness to employee requests are essential for success in this role.,

Posted 1 week ago

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Treasury Analyst GRMAC Pvt ltd

3.0 - 7.0 years

0 Lacs

chennai, tamil nadu

On-site

You will be responsible for overseeing real-time liquidity and cash flow management, optimizing fund allocation and capital utilization. Your role will involve ensuring compliance with SEC, FINRA, and global BPO financial regulations to mitigate financial and operational risks. Additionally, you will supervise treasury operations related to outsourced financial services, ensuring SLA-driven financial workflows. In this role, you will support investment planning, risk assessment, and financial decision-making in a fast-paced Fintech-BPO environment. You will collaborate with finance, compliance, and operations teams to align treasury strategies with business goals, contributing to the overall success of the organization. This is a full-time, permanent position with benefits including health insurance and Provident Fund. The schedule for this role is a night shift. As part of the application process, you will be asked if you are currently working or have worked in a Treasury department. The work location for this position is in person.,

Posted 1 month ago

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