Code of Ethics Analyst - Investment Banking

About the Role:

- We are seeking a detail-oriented and experienced Code of Ethics Analyst to join our Investment Banking team in Bangalore.

- This role is critical in ensuring compliance with regulatory requirements and internal policies related to employee trading and other ethical conduct.

- The ideal candidate will have a strong understanding of asset management, capital markets, and compliance regulations, with a focus on Code of Ethics activities.

Responsibilities:

- Code of Ethics Management: Administer and monitor the firm's Code of Ethics policies and procedures.

- Process and review employee Preclearance requests for personal trading activities.

- Monitor and analyze employee trading activities for potential violations.

- Conduct periodic reviews (monthly, quarterly, and annually) of employee trading activity, including broker statement reviews.

- Manage broker setups and maintain accurate records.

- Review and process Outside Business Activity (OBA) disclosures and Exemption Requests.

- Handle New Hire Certifications and provide training on Code of Ethics policies.

- Identify, investigate, and report violations of Code of Ethics policies.

- Monitor and mitigate Failed DAD monitoring.

- Compliance and Regulatory Oversight: Ensure compliance with relevant regulatory requirements for asset management.

- Maintain up-to-date knowledge of industry regulations and best practices.

- Assist in the development and implementation of compliance policies and procedures.

- Provide guidance and support to employees on Code of Ethics matters.

- Documentation and Reporting: Maintain accurate and organized records of employee trading activities and compliance-related documentation.

- Generate reports on Code of Ethics activities and compliance metrics.

- Utilize systems like Service Now or Employee Compliance Manager (ECM) to manage and track compliance activities.

- Communication and Collaboration: Communicate effectively with employees, management, and compliance teams.

- Provide timely and accurate responses to inquiries related to Code of Ethics.

- Collaborate with other departments to ensure consistent application of compliance policies.

- Review broker confirmations and trade confirmations.

Key Skills and Qualifications:

- Proven experience in Code of Ethics activities within an asset management entity.

- Strong understanding of compliance and regulatory requirements in the asset management industry.

- Knowledge of Capital Markets, Asset Management, Mutual Funds, Equities, and Bonds (added advantage).

- Proficiency in using systems like Service Now or other Employee Compliance Manager (ECM) platforms.

- Experience with broker confirmation and trade confirmation processes.

- Ability to conduct periodic reviews (monthly, quarterly, and annually) of employee trading activities.

- Experience with broker statement reviews and broker setups.

- Familiarity with Outside Business Activity (OBA) disclosures and Exemption Requests.

- Experience with New Hire Certifications and violation reporting.

- Experience with Preclearance request and Secuirty/Options setup.

- Experience in Failed DAD Monitoring.

- Excellent communication and interpersonal skills.

- Strong analytical and problem-solving abilities.

- Detail-oriented with a high degree of accuracy.

- Ability to work independently and as part of a team.

Key words:

COE, Code of Ethics, ECM (Employee Compliance Manager), Service Now, Broker Confirmation, Compliance and Ethics, Trade Confirmation, Periodic Reviews (monthly, quarterly, and annually), broker statement reviews, broker setups, Quarterly Statement Review, Outside Business Activity (OBA), Exemption Request, New Hire Certification, Violation of Policies, Report Violation, Violation, Preclearance request, Secuirty Setup, Options Setup, Failed DAD Monitoring.

Requirements:

- Candidates must be willing to work in a US shift (5:30 PM IST - 2:30 AM IST).

- Candidates should be based in Bangalore or South India and willing to relocate to Bangalore.

- Must be able to provide the required documents (Latest 2 companies' OL, RL, Pay slips, PF/Form 16, Original PAN Card with Latest Photograph).

- Must have a 30 to 45 day notice period