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Junior Compliance Analyst

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  • Banking & Finance
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Job Details

Key responsibilities will include-Transaction review and maintenance in Deal Management System-Review and approve wall-crossing requests from banking business-Maintain Watchlist and Restricted List-Review and approve trade requests on Restricted List-Review Equity and Fixed Income Research reports for potential conflicts with the Watch and Restricted Lists-Review Equity Research for compliance with quiet periods (e.g., IPO, Secondary, and Lock-Up expirations)-Chaperone interactions between Investment Banking/Capital Markets and Equity Research personnel for compliance with various research-related regulatory rules-Surveillance of the Firm's investment banking trading activities and investigate potential violations / abusive trading activities-Providing daily support to the Core Control Room-Providing ad hoc support to research department as requestedYou Offer Qualifications- 2 years of relevant working experience in financial industry (Legal and Compliance background preferred)-Ability to handle confidential information and matters with discretion-Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines-Extremely detailed oriented, with strong follow-up-Strong interpersonal, communication and presentation skills-Strong analytical skills-Be able to communicate effectively with all levels of employees in the firm-Proactive, good working attitude, team player
Degree: MBA/ PGDM

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 2-7


Finance/Budgeting | Financial Analysis | Investment Banking
Applying for this job will take you to an external site


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