Compliance Associate

Overview

Compliance Associate for Saxo Bank Group India’s 2nd Line Compliance department, supporting group and local compliance activities and ensuring adherence to Indian laws, regulations, and internal policies.

What you'll do

• Assist group and local Compliance teams with projects and tasks.
• Participate in monitoring projects, conducting spot checks, and performing compliance reviews.
• Support thematic monitoring, spot checks, and control testing.
• Identify potential risks, provide independent advisory on Indian laws, and recommend corrective actions.
• Maintain oversight for legal risk exposure of Saxo Group India Pvt Ltd and follow up with relevant departments.
• Support activities across risk areas such as data protection and regulatory reporting.
• Analyze compliance findings and prepare detailed reports and response guidelines.

What you'll need

• Law degree from a nationally recognised law school with at least 3 years of experience in a Legal or Compliance department.
• Minimum 1 year of experience in control testing or compliance monitoring activities.
• Knowledge of Indian laws for corporates with ability to interpret various laws.
• Knowledge and exposure to the financial industry.
• Experience or knowledge of transaction reporting as per MiFID guidelines and product governance (added advantage).
• Good drafting and documentation skills for advisory notes, risk assessments, compliance observations, and management updates.

Details

• Location: Gurugram (On-site).
• Department: 2nd Line Compliance.