We are contacting with you for an excellent opportunity with our client company, an INVESTMENT bank for Mumbai and Bangalore location. Please find mentioned below the details.  AVP-Legal & Compliance   Desired Profile:   - Advice and Counsel CoE personnel / businesses on application  - Working knowledge of the Indian regulatory framework and SEBI and RBI regulations is essential. Familiarity with the financial services industry and offshoring services provided from India to global financial institutions will be an advantage.  - Perform supervisory review of work done by CoE team, ensuring alerts are escalated, analyzed, and cleared properly in a timely manner, documentation of rationale and proper record keeping. Review regulatory and compliance aspects of CoE related initiatives  - Provide compliance trainings to new hires in CoE on detailed procedures for surveillance scenarios, highlighting the risks and common issues.   - Conduct specific training on relevant Indian and foreign regulations relevant to specific functions or processes that may be transferred to the CoE. In this the compliance officer will work closely with jurisdictional and product compliance exerts within organisation's global compliance team.   - Respond to GC's request or queries for information in relation to trades to help identify possible misconducts. Act as a key liaison with internal control groups on compliance-related issues and respond to audit requests  - Review MIs for distribution to Senior Managers and Global stakeholders  - Proactively highlight compliance related issues and bring them to successful closure. Mitigate risks for the entity by being vigilant and on high alert regarding the compliances  - Obtain endorsements and buy-in from stakeholders on recommendations   - Engage stakeholders and team members actively in regular progress updates, decisions and resolution of issues   - Identify risks and issues and drive respective mitigations   - Conduct periodic compliance reviews.  - Assist in compliance review of issues related to the migration of processes and functions to the COE.  - Assist in responding to any regulatory inquiries and hands on knowledge of SEZ/ STPI /DoT regulations are essential.  Desired Qualifications:  University degree - specialization in finance or banking would be an asset  - At least 10 to 15 years of relevant experience   - Very good understanding of the complexity of financial products and services and front office lingo. Understanding of banking industry and its regulatory environment. Possess strong regulatory, product and transaction knowledge and strong written and verbal skills  - Analytical, attention to details, be able to spot and document irregular trends and patterns. Methodical and detailed in documentation and follow through on issues and cases.   - Disciplined and systematic in review approach and record retention  - Excellent Microsoft Office skills, including Excel, Word  - Excellent financial services background with solid understanding of Compliances in the industry  - Decision making skills and Solution oriented  - Effective analytical skills, ability to solve complex problems and identify pragmatic solutions  - Proven ability to manage senior stakeholders with strong influencing, communication and networking skills  - Good understanding of risk and mitigating controls  - Related activities in bank/ securities market industry.  - Team work, & leadership skills working knowledge on presentations will be useful Ability to think strategically, demonstrate thought leadership whilst being capable of translating concepts into effective implementation   - Effective personal impact / authoritative presence.   - Exceptional written, verbal communication and presentation skills. Confident to challenge  - Exceptional management, teamwork, interpersonal, influencing and conflict resolution skills. Establish and cultivate strong working relationships across departments. Ability to influence and navigate a global organization and experienced in dealing cross culturally and should be able to communicate effectively (verbally and in writing).   Jayashree Ghadge  HR Consultant  Credence HR Services

Mumbai

Bangalore

AVP - Legal & Compliance - Investment Bank 

AVP - Legal & Compliance - Investment Bank  ,Job Description for AVP - Legal & Compliance - Investment Bank  in Credence HR Services in  Mumbai Bangalore for (10-15) years of experience. Apply Now!

Job Description for AVP - Legal & Compliance - Investment Bank  in Credence HR Services in  Mumbai Bangalore for (10-15) years of experience. Apply Now!