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VARITE INC logo
Compliance Analyst VARITE INC

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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