Employer : Leading Investment Bank
Designation : Associate(4-8yrs)
Profile : Compliance/Trade surveillance
Job Location : Bangalore
Roles& Responsibilities :
- Grasp business, compliance and regulatory rules and policies
- Perform and prepare reports relating to surveillance including but not limited to holdings, positions, personal account trading, restricted trading
- Take ownership and provide feedback on reports, creating checklists and resolving exceptions
- Provide guidance to internal clients on appropriate interpretation and application of policies/procedures
- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
- Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
- Identify and effectively escalate potential issues to the appropriate person/s
- Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
- Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation.
Apply with following details :
Current Employer( if working) :
Notice Period ( if working) :
Current CTC( if working) :
Ok for Bangalore Location : Yes/No
Current Location :
Megha
Phenom Placement
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