Risk and Compliance Associate - Chennai, Tamil Nadu, India - Tradu

Tradu
Tradu
Verified Company
Chennai, Tamil Nadu, India

1 month ago

Deepika Kaur

Posted by:

Deepika Kaur

beBee Recuiter
Description
Vacancy Name

  • Risk and Compliance Associate
Vacancy No

  • VN918
Employment Type

  • Regular Full-Time
Location

  • Chennai
Job Details

  • Key

Responsibilities:


  • Perform assurance reviews and periodic reporting, analysis of communication, trading activity, financial crime and any assigned compliance controls testing areas to ensure compliance with relevant policies and procedures;
  • Inspect key compliance risk indicators in respect to financial promotion, complaints, order executions, and telephone recording arrangements;
  • Identify and review potential key conduct risk issues and document the resolution/course of action;
  • Work with Management team in supporting the AML, Communications and Trade Surveillance programs by reviewing alerts, risk indicators designed to detect potential control deficiency or misconduct;
  • Continuously monitor process, control adequacy, technology stability and escalate issues and risks accordingly;
  • Inspect communications (voice and electronic) to identify misconduct and potential misuse of information;
  • Maintain detailed findings and identify patterns for escalation of significant compliance issues and violations via incident recording;
Must Have Qualifications

  • 13 years of experience in internal or external audit/compliance/risk management/control testing experience, quality control /assurance/
  • Experience in assessing risk, reviewing risk ratings, identifying controls gaps and determining the appropriate evaluation methodology.
  • Understanding of AML/CTF, financial crimes and its regulatory framework
  • Previous audit experience in a Big 4 or other top tier accounting firm an advantage
  • Demonstrate strong analytical regulatory research skills
  • Strong English communication skills


Hours: 40 hours/week - Monday to Friday; Fully working from the office - Indiqube Alpine (Transit) 7th Floor, Jawaharlal Nehru Road, Guindy Area - adjacent to Ekattuthangal Metro Station.- All Technementals Innovation India Private Limited employees must be eligible to work in India.

Prior to submitting your resume, the firm requests that you do the following:
Company Description
Tradu is a new multi-asset global trading platform and is part of the Stratos group of companies.

Tradu, built by traders for traders, provides the most sophisticated traders with a serious platform that allows them to move easily between asset classes such as stocks, CFDs and crypto, depending on the regulations that govern the trader's market.

Equal Opportunity Employer
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