Job Title: Analyst – Legal & Compliance (Conflict Clearance & Code of Ethics)
Location: Gurugram / Bengaluru
Experience: 2–3 Years
Qualification: LLB / LLM / CS / MBA (or equivalent)
Industry Preference: Financial Services, Banking, Investment Management, Asset Management, Compliance & Risk
About the Role
We are looking for a detail-oriented and analytical Compliance Analyst to join our Legal & Compliance team. The role will focus on Conflict of Interest Management, Code of Ethics Compliance, Employee Disclosure Reviews, Personal Trading Monitoring, Regulatory Compliance, and Compliance Reporting.
The ideal candidate should have experience in internal compliance functions, ethics monitoring, employee account reviews, regulatory risk assessment, and stakeholder management within financial services, banking, consulting, or compliance environments.
Key Responsibilities
Conflict Clearance & Compliance Monitoring
- Perform conflict checks and conflict-of-interest assessments.
- Review and analyze client, employee, and third-party information to identify potential compliance risks.
- Support maintenance of restricted lists, watchlists, and compliance databases.
- Escalate potential conflicts and compliance concerns to relevant stakeholders.
Code of Ethics Administration
- Review employee disclosures, personal trading activities, outside business activities, and other ethics-related submissions.
- Monitor employee brokerage accounts and personal account dealing activities.
- Ensure adherence to internal Code of Ethics policies and regulatory requirements.
- Support ethics investigations and compliance reviews.
Regulatory Compliance & Risk Management
- Conduct compliance assessments and risk analysis.
- Monitor regulatory developments and assist in implementing compliance requirements.
- Identify compliance gaps and recommend corrective actions.
- Assist in compliance audits, monitoring activities, and internal reviews.
Data Management & Reporting
- Maintain accurate compliance records and databases.
- Prepare compliance reports, dashboards, and management summaries.
- Analyze large datasets and identify trends, exceptions, and potential risks.
- Ensure proper documentation of compliance reviews and decisions.
Stakeholder Management
- Coordinate with internal teams, employees, brokers, and business stakeholders.
- Respond to compliance-related queries and provide guidance on policies and procedures.
- Support compliance awareness initiatives and training programs.
Required Skills
- Strong understanding of Compliance, Risk Management, and Regulatory Frameworks.
- Experience with Code of Ethics, Personal Trading Monitoring, Employee Disclosures, or Conflict Management.
- Knowledge of AML, KYC, Financial Crime Compliance, or Regulatory Compliance is preferred.
- Excellent analytical and problem-solving skills.
- Strong communication and stakeholder management abilities.
- Proficiency in MS Excel and compliance reporting.
- Ability to handle confidential information with integrity and professionalism.
Preferred Background
Candidates from Banking, Financial Services, Investment Management, Asset Management, Consulting, Risk Advisory, Compliance Operations, or Ethics & Compliance functions will be preferred.
