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Compliance Analyst

Location Mumbai, India


Position Summary

This is a role in the Risk and Compliance function and provides the right candidate with the opportunity to shape how it evolves. The role holder will work closely with the Head – Risk and Compliance assisting in a variety of compliance initiatives and projects. He will be conducting routine review and investigations of unusual market activity for evidence of violations of relevant rules and will be accountable for presenting the investigative findings in an organized and concise manner. Depending on the progress, additional tasks belonging to core risk functions will also be incorporated in the role.

The role will also receive extensive on-the-job training to support the personal growth.

Job Profile

  • The primarily responsibility of the job holder will be to be to conduct a daily review of the Group’s activity using the market surveillance solution in order to detect potential and/or actual violations of the exchange rules/regulations. The individual must have strong investigative instincts and able to demonstrate understanding of markets and strategies.
  • Perform surveillance reviews and investigations in a manner that ensures that the monitoring procedures are conducted with the highest quality and that appropriate actions are taken including:
    • Appropriate inquiry and investigation is conducted as warranted.
    • Inquiries and replies are appropriate, complete and satisfactory.
    • The reviews and follow-up inquiries are evidenced in a manner that is in accordance with regulations and firm policies and procedures.
    • Identification of areas of non-compliance, potential risk issues and escalation of matters to the supervisor.

Requirements

Education Qualifications

  • Strong Academics, Degree Educated or Equivalent.
  • Professional qualification in risk management and/or compliance and/or legal would be much preferred.

Work Experience

  • At least 2-3 experience working in the firm.
  • Good understanding of the futures markets.

Skill Set

  • At least 2-3 experience working in the firm.
  • Professional qualification in risk management and/or compliance and/or legal would be much preferred.
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