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Job Description
Structured overview of role & requirementsAbout This Role
Provide comprehensive compliance support for Global Ethics Office activities across North America, with potential extension to APAC and EMEA regions.
Review and monitor employee personal trading activities for policy adherence, including transaction confirmations, pre-clearance requests, and trade monitoring.
Manage broker governance, compliance tracking, audit support, and maintenance of SOPs and compliance performance reporting.
Minimum Requirements
MBA/PGDM in Finance.
Understanding of Financial markets, Financial Products, and Mutual fund industry.
Proficiency in MS Office applications.
Work Experience Required: Not explicitly mentioned in the JD.
Ideal Candidate Profile
Experience or familiarity with compliance functions in global investment management or financial services supporting multiple geographies, especially North America.
Comfortable working flexible hours aligned to North America time zones (5:30 PM to 2:30 AM IST) with potential schedule variability.
Detail-oriented with strong analytical ability to manage and interpret transaction data and compliance reports.