01Key Responsibilities
Monitor employee personal trading activities and ensure compliance with internal policies and regulatory requirements.
Review and reconcile trade transactions, employee declarations, and brokerage account statements.
Identify, investigate, and escalate potential policy breaches or suspicious trading activities.
Respond to employee queries related to Personal Account Dealing (PAD) policies and processes.
Perform surveillance, reporting, and data analysis to support compliance monitoring activities.
Partner with global Compliance, Risk, Operations, and Business teams to ensure effective controls and governance.
What We're Looking For:
2-3 years of experience in Compliance, Risk, Operations, or Financial Services.
Understanding of Capital Markets, Financial Products, and Investment Banking operations.
Robust Reconciliation and Analytical skills.
Excellent Communication and Stakeholder Management abilities.
Proficiency in Microsoft Excel.
Detail-oriented mindset with the ability to meet deadlines in a fast-paced environment.
Educational Qualification:
MBA | M. Com | B. Tech or equivalent
We kindly request that only candidates available for immediate joining apply for this opportunity.
Interested candidates can share their updated resumes or connect directly.
mohammed.firoz@artech.com .
