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6 Morae Global Jobs
Compliance Support (Private Equity)
5-7 years
Bangalore / Bengaluru
1 vacancy
Compliance Support (Private Equity)
Morae Global
posted 10hr ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
- Review employee s quarterly brokerage statements working across various geographical locations and flag any potential personal trade breaches to onshore compliance team
- Utilize internal compliance tools to ensure that brokerage statements are received prior to internal deadlines including sending employees reminders and flagging outstanding items to onshore compliance team
- Screen and review social media handles of investment (deal) teams and capital partnering teams & flag issues to onshore compliance team
- Ensure the new hires certifications are completed on time by employees & ensure their initial disclosures are up-to-date
- Update the leavers status on the firm s compliance system and update records accordingly
- Perform conflict checks on prospects list and expert network usage reports
- Flag any potential issues to onshore compliance team
- Manage and review high quantity of emails and calendar invites for expert networks to ensure recordkeeping is comprehensive
- Manage high volume of transcripts and recordings of expert network calls to ensure records are complete and reach out to networks directly when records are missing
- Work directly with third-party services to complete translations of expert network calls not conducted in English Co-ordinate with new brokers/dealers to setup direct feed transmission (Electronic Feeds) with firm s compliance system
- Handle employee queries or queries from external parties such as family office, broker/dealers, system vendors etc
- Work closely with the onshore compliance team on day-to-day compliance matters and to support the client team with ad-hoc requests whenever required
- Skills and Experience: Bachelor of Commerce (B
- Com) or Master of Business Administration (MBA) with 5-7 years of experience in working for a corporate compliance team at an investment bank or private equity firm
Employment Type: Full Time, Permanent
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