Assistant Manager - Regulatory Compliance - BFSI

Key responsibilities :

- Review, investigate and analyse alerts generated by the Actimize and Red Kite surveillance system. This system is designed to identify potential instances of Market Abuse eg front running, trade ahead of market events etc., breaches of internal policies surrounding Information Boundaries and/or individual behaviour that may signify potential risk to and/or its clients.

- Review, investigate and analyse Personal Account Dealing (PAD) undertaken by employees for instances of potential Market Abuse, bribery and corruption and/or breaches of internal policies.

- Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the Surveillance RC monitoring plan are mitigated.

- Analyse and articulately escalate potential trading breaches to onshore RC colleagues.

- Assist in the production of reports providing management information for Senior Management.

- Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests.

- Foster a close relationship with the various FCC/RC teams, both on and off-shore.

- Be aware of the Operational Risk scenarios associated with the role and act in a manner that takes account of operational risk considerations.

Skills :

- 3 -5 years of experience in Personal Account Dealing, Personal Account Dealing, market abuse, Insider trading, Employee Compliance, Trade surveillance.

Shift timing : 6:30 a.m. - 12:30 a.m.

Location : Bangalore