Compliance Associate, Conflicts of interest, Global Controls

Overview

Compliance Associate for the Global Controls – Conflicts of Interest (COI) team in Mumbai, supporting the conflicts of interest compliance program.

What you'll do

• Develop, implement, and review operating procedures for the global COI compliance program.
• Monitor compliance with conflicts of interest policies, including securities trading, gifts & entertainment, and escalate issues to management.
• Manage and supervise direct reports within the COI team (two direct reports initially).
• Administer the firm’s Conflicts Management System globally.
• Ensure documentation and record-keeping for associated controls.
• Support Compliance reporting to Senior Management on a monthly, quarterly, and annual basis.
• Assist with regulatory examinations and conduct and preparation activities.

What you'll need

• At least 2 years’ experience in Compliance managing conflicts of interest functions and conducting regulatory analysis.
• Experience with control room functions, including preclearance of employee trades and use of restricted lists.
• Ability to manage others.
• Ability to conduct regulatory analysis, prepare memorandums, and draft procedures.
• Experience interacting with employees at various levels.
• Strong communication skills (verbal and written).
• Bachelor’s degree is required.

Nice to have

• Background or experience in process automation or AI implementation.

Details

• Location: Mumbai, India.
• Work schedule: 4 days a week in office attendance.