Analyst

Compliance Analyst – Focus on Code of Ethics & Firm trading monitoring and surveillance Job Location is Mumbai, Goregaon East Key Responsibilities Code of Ethics monitoring Onboard/offboard employees to/from our StarCompliance/Financial Tracking System platform Assist with preclearance and monitoring tasks related to the Firm’s personal trading policy Investigate potential personal trading policy violations, escalating issues and documenting resolution Firm Trading/Control room Conduct daily trade surveillance, including trade blotter reviews and exception reporting Maintain Firm’s list of restricted issuers Conduct trade allocation back testing Email surveillance Assist team with email surveillance and related tasks Required Qualifications 3+ years of relevant compliance, audit or risk management experience, ideally supporting a U.S.-based registered investment adviser Some understanding of U.S. financial regulations, especially the Investment Advisers Act of 1940 Experience with order management systems or similar trading-related data warehouse platforms, compliance monitoring tools, trade surveillance platforms and data analytics Excellent analytical, organizational and communication skills with a strong attention to detail

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