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Tier-1 brand, metro location, mid-level generalist compliance role increases applicant competition.
High - role requires finance-specific compliance, trading knowledge, and industry experience limiting cross-industry transferability.
Medium strictness due to explicit 2-4 years and finance compliance experience requirement.
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Support Global Ethics Office activities focused on North America, with potential extension to APAC and EMEA regions.
Manage and review employee trade transactions, personal trading pre-clearance, and ensure compliance with Code of Ethics and internal policies.
Maintain compliance data systems, prepare reports and support audits, broker governance, and compliance tracking including SOP documentation.
2-4 years experience in investment advisory, mutual funds or financial services, preferably in compliance or regulatory roles.
Degree in Commerce/Finance or MBA.
Ability to work 5:30 PM to 2:30 AM IST to align with North America business hours; flexibility to change based on business needs.
Familiarity or preference given to employee trading systems such as STAR Compliance, Charles River, Bloomberg; proficiency in MS Office.
Experienced compliance professional with operational focus supporting cross-regional Global Ethics or Compliance functions.
Strong analytical skills with attention to detail and capability to manage confidential data and escalate issues timely.
Comfortable working flexible/night shift hours to meet North America time zone requirements.