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Tier-1 brand, metro location, common compliance title, and broad skillset drive high candidate competition.
Requires financial services, trading and broker-system knowledge, limiting cross-industry transferability.
Explicit 2–4 years requirement and finance compliance experience increase filtering but no mandatory certifications.
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Support Global Ethics Office (GEO) activities primarily for North America, with flexibility to assist in APAC and EMEA regions.
Manage personal trading compliance: review employee trades, pre-clearance requests, transaction monitoring, and broker governance.
Prepare and maintain detailed reports, standard operating procedures, and support audit and compliance data requests ensuring adherence to policies.
2-4 years of work experience in financial services, ideally in compliance or regulatory environment.
Degree in Commerce/Finance or MBA required.
Proficiency in MS Office; familiarity with STAR Compliance, Charles River, Bloomberg is preferred.
Must be open to working 5:30 PM to 2:30 AM IST (supporting North America business hours) with flexible hours.
Experience working in compliance support roles within financial services, especially with understanding of mutual funds and trading principles.
Ability to provide accurate compliance advice and handle confidential employee data responsibly.
Comfortable operating across multiple regions and collaborating with global teams under shifting schedules.