Compliance Analyst

1. Reporting to the India Compliance Officer to implement efficient and best practice compliance and risk policies, procedures and standards.
2. Engage with the local business team to promote a culture of compliance.
3. The candidate will be expected to engage with all front office and middle office operations, including Sales, Trading, Research, Operations, Finance and Technology groups in implementing compliance programs.
4. Ensure global policies are adhered to by staff, including enforcing our Code of Business Conduct and Ethics.
5. Assist Compliance officer in implementing a risk-based compliance monitoring program including testing and reporting of the compliance environment.
6. Assist the Compliance Officer in preparing management papers for board of directors and other committees.
7. Assist in handling regulatory licensing and renewal matters, corporate/regulatory queries and industry consultations.

Candidate must have broking compliance background with experience to also handle global compliances in a global set up.

At a minimum, a company secretary. Additional may include Law or business related degree. Post-graduate studies are highly regarded.

Fluent in written and spoken English.