Key Areas of Responsibilities :
- Review of Complisci staff trading communication items, reconciliation of staff statements against Complysci trade requests.
- Review of staff trades against research report(Restricted List)
- Conducting compliance training to new joinees;
- Ensuring leaver exit compliance formalities are completed;
- Performing periodic review check for clients with different risk assessment.
- Closing all trade surveillance alerts (including SMARTS);
- Ensuring requisite certificates of employees are current;
- Ensuring CLSA licenses are current;
- Assistance with all internal and regulatory reporting; Assistance with updation of policies;
- Resolving staff queries relating to staff dealing Assistance in monitoring staff trades on periodic basis
- Reporting of Data Leakage protection incidents to the managers of staff.
- Daily analysis and Investigation of alerts generated by an Automated Trade Surveillance solution across Securities.
- Liaise with different stakeholders in India
- Performing various tasks regarding Data Leakage Procedure
Requirements :
- 2-5 years of experience, preferably in Stock Broking and Investment Banking firm in the Compliance function
- Excellent communication skills, team player and ability to work under pressure
- Preferable ( though not mandatory) to have corporate secretary qualifications
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