Compliance Analyst

PineBridge Investments


Date: 2 days ago
City: Mumbai, Maharashtra
Contract type: Full time
Primary Responsibilities:

  • Managing the monitoring, administration, and completion of regulatory filings across the globe.
  • Assisting in the preparation and filing of periodic regulatory reports, including daily filings.
  • Analyze new and existing global regulatory reporting requirements and figure out how to create a process and source content for the reporting.
  • Overseeing the maintenance, monitoring, and administration of the firm’s Code of Ethics, including the use of the StarCompliance system for monitoring employee’s personal securities transactions, gifts and entertainment reporting and various other disclosures.
  • Coordinating the StarCompliance system across global compliance teams and responding to employee questions concerning the Code of Ethics.
  • Monitoring controls related to fraud, market abuse, and managing of conflicts of interest.
  • Assisting with administration of the overall compliance program, including management data reporting, and completing special projects and ad hoc assignments.

Qualifications:

  • Bachelor’s degree from an accredited institution .
  • Minimum 1-2 years of relevant work experience in financial services industry.
  • Must be familiar compliance obligations/requirements of a registered investment adviser, bank asset management department, hedge fund or other financial institution.
  • Experience with Code of Ethics monitoring system is a plus.
  • Detail oriented.
  • Strong ability to interact effectively with peers, both locally and globally.
  • Excellent communication and interpersonal skills.
  • Proficient in Microsoft Excel (creating spreadsheets, tables, analyzing data, pivot tables, formulas, functions).
  • Proficient in Microsoft PowerPoint and WORD.
  • Ability to take on projects from inception through completion and meet deadlines.
  • Desire to work as part of a dynamic team at a growing institution, with the potential opportunity to take on a more expansive role over time.
  • Engage in a hybrid workplace model (mixing in-office and remote work).
  • Flexibility in working hours (if coverage is needed in another region while an employee is out of the office).

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