Compliance Associate

Caxton Associates is a global trading and investment firm seeking a junior-level generalist compliance professional to join its Bangalore office. The successful candidate will contribute to the firm's global compliance team, implementing and maintaining a best-in-class Global Compliance Monitoring Programme and promoting a culture of compliance across the organization.

Requirements

• Law degree or Bachelors or Master’s degree in Business Administration or related field
• 1 to 3 years of experience as a compliance generalist in a hedge fund, trading firm, or investment management firm.
• Understanding and practical experience of regulatory frameworks, with a focus on Code of Ethics management and monitoring (personal account dealing, outside business interests, gifts & entertainment) and market abuse surveillance and communication surveillance
• Experience in implementing and operating trade and communications surveillance programmes.
• Experience in Compliance monitoring activities a plus
• Knowledge of finance, markets, trade life cycle a plus
• Highly driven, organised, and detail-oriented
• Excellent communication and presentation skills, both verbal and written
• Highly dependable and committed to upholding the highest professional and ethical standards