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Job Overview

Category

LLB/LLM, MCOM/BCOM

Job Role

Compliance Analyst/Manager

Gender preferred

No Preferences

Functional Area

BFSI (Credit & Risk)

Career Level

Qualified Professional - Experienced

Work preferred

Work from Office

Experience

Min Experience

2 Years

Max Experience

5 Years

Qualification

Graduation

LLB, BBA, B.Com

Post Graduation

Post Graduation Not Required

Description

Responsibilities:

  • Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform various ongoing SEC compliance support services on behalf of its clients (primarily hedge funds and private equity funds)
  • Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients
  • Proactively monitor and report on potential electronic communication compliance violations on various archival platforms.
  • Review and provide compliance comments to marketing materials, including investor letters, DDQs and presentations
  • Work closely with external vendors to troubleshoot and escalate critical systems issues
  • Actively monitor and report on potential electronic communication compliance violations
  • Prepare employee training slides based on policies and procedures as well as SEC / FINRA / NFA recent developments
  • Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems
  • Draft updates to client Form ADV registration materials
  • Prepare Compliance Manuals and Code of Ethics for clients that are designed to satisfy SEC rules and regulations
  • Experience advising hedge funds and private equity funds is a plus.

Qualification:-

  • Bachelor's or master’s degree in Commerce, Accounting, Law, Business Administration or Management (with a concentration in Accounting, Law, Economics or Finance) from an accredited university or college.
  • Proven 2-5 years of work experience in a compliance role.
  • Ability to work on own initiative and as part of a team
  • Client facing, solutions focused skills
  • Clear, logical thought processes, ability to make decisions and articulate these clearly
  • Strong English oral and written communication skills
  • Time management skills and ability to work within deadlines
  • Solution-driven and problem-solving attitude
  • Legal or audit background would be useful

Skills

BBAB.ComLLBCompliancePrivate EquityFinancial ServicesHedge Fund

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