Our client is a Bulge Bracket Investment, with offices across the Globe and markets. Compliance and Regulatory Division for any Financial Institution has become an integral and critical function for the firm to maintain integrity and avoid legal/regulatory issues which governs these Financial Institution.   Any failures in ensuring the adherence to the Compliance and Regulatory laws, rules and standards, may attract a significant risk of legal or regulatory sanctions, material financial loss, or loss to reputation.  There are a myriad of key Compliance laws, rules and standards, and regulatory checks a Financial Institution has to go through on a regular basis, such as:  Market & Trade Surveillance   SEC, CFTC, FINRA and NFA.   DFAST - Dodd Frank  Volcker Rule  BASEL - Requirements  MiFID  FSA regulations  to name a few.  We are currently looking for some with 4-8 years of experience for two roles with our client, they are senior roles with high value creation and high visibility in the Compliance Division of the Bank:  1) Compliance Testing - We are looking for a mix of Regulatory & Compliance risk knowledge along with some exposure to Financial Products in the Equity / FI / Derivative space ( Swaps / Exotics / CDS ). This role will be working towards some of the key businesses of the bank and reviewing and analysing the current Compliance and regulatory framework and test the same and will work with various teams to bring about any effective change if required.   2) Regulatory Practice Group - We are looking at someone who has very strong knowledge in the Global Financial Market Compliance and Regulatory Laws/ rules and standards. The Regulatory Practice Group is a dynamic, global team charged with interfacing with regulators on regulatory audits and inquiries received in jurisdictions worldwide. The team is also responsible for working with stakeholders throughout the firm to help ensure the efficacy of firm controls, policies and procedures relating to regulatory requirements.  Key Requirement -  Strong working Knowledge of the Various Global Market ( primarily US and European ) Compliance and Regulations.  Financial instruments product knowledge.  Experience in the financial services industry, either working for another broker dealer, law firm, Big 4 firm or regulator.  Integrity, motivation, intellectual curiosity and enthusiasm

Bangalore

Associate/VP - Global Markets - Regulatory Compliance - Bulge Bracket Investment Firm 

Associate/VP - Global Markets - Regulatory Compliance - Bulge Bracket Investment Firm  ,Job Description for Associate/VP - Global Markets - Regulatory Compliance - Bulge Bracket Investment Firm  in People Realm Recruitment Services in  Bangalore for (4-10) years of experience. Apply Now!

Job Description for Associate/VP - Global Markets - Regulatory Compliance - Bulge Bracket Investment Firm  in People Realm Recruitment Services in  Bangalore for (4-10) years of experience. Apply Now!