IN-Manager-Insider Trading-Risk

Part of the firm s insider trading compliance team, reporting to the compliance officer of the firm


Good understanding of the PIT Regulations including related publications
Regulatory interpretation and able to apply design the approach accordingly


Respond to stakeholders queries without compromising the compliance requirement


Drafting/ revising policy in accordance with regulation/global policy


Enhancing awareness by way of campaign, communications, training etc


Understanding the insider trading standard, policy and requirements to be able demonstrate compliance under ISQM/SQC framework and network standard


Handle internal audit, internal quality review or other internal/ external review as required


Familiarize with existing processes/ systems for various compliances and leverage them where possible


Evaluation of the existing processes and automate to the extent practicable


Able to interact with stakeholders, obtain facts, analysis information and conclude accordingly

including any reporting implication as per regulation and providing the final clearance


Maintain confidentiality in communication to the practice including senior management within the organisations


Understand various reporting requirement, reviews at firm level and impact of the same to the firm


Responsible to handle team of one or two person(s)


Regulation interaction with SME s and drive the communications through these channels


Desired Skills
Compliance oriented, high integrity and lead by examples


Able to interpret regulations and track the updates proactively


Self-driven to drive the process and compliance for the firm


Excellent communication (both verbal and written) and influencing skills


Ability to confidently articulate policy and procedures to large audiences


Assertive yet flexible, proactive, and self-motivated with a desire to learn


Ability to work individually as well as a good team player and have experience of managing teams


Good time management skills and attention to detail


Aware of the latest tools and technologies to drive process improvements and automation