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Medium competition due to Tier-1 brand, common analyst title, and Gurgaon metro location.
High—role requires financial services compliance and personal trading regulatory knowledge, limiting transferability.
Medium—no explicit years but regulatory domain knowledge and compliance experience expected.
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Administer and monitor the firm's Employee Compliance Program focusing on personal trading, account disclosures, Gifts & Entertainment, Outside Business Activities, and certifications.
Oversee review and classification of employee brokerage and investment account disclosures, monitor personal trading activities, and investigate policy violations.
Collaborate with employees, Compliance, Legal, HR, and external stakeholders to ensure adherence to regulatory obligations and internal policies while maintaining employee engagement.
Experience in employee compliance monitoring or related field: Not explicitly mentioned in the JD.
Skills in reviewing brokerage and investment account disclosures and monitoring trading activities: implied from responsibilities.
Ability to conduct investigations and liaise with multiple stakeholders including employees, brokers, Compliance, Legal, and HR.
Work arrangement: Hybrid model with requirement to work at least 4 days in office per week.
Detail-oriented professional with experience in compliance monitoring and enforcing financial regulatory policies.
Capable of managing multiple stakeholders across departments and external parties effectively to ensure policy adherence.
Comfortable working in a hybrid office environment with a structured in-office presence for collaboration and onboarding.