ENO - Personal Account Dealing Role - Investment Banking

ENO -Personal Account Dealing- Pune- Investment Banking

We are looking candidates who have policies and procedure experience of Personal account dealing, trade compliance, Employee trade reconciliation, compliance exposure.

General responsibilities :

- A platform to Identify and undertake projects as needed to improve process and application of Personal Account dealing policies and procedures

An opportunity to handle the below tasks :

- Employee trade reconciliation against contract notes and trade requests

- Performance of quarterly and annual 'clean ups' of all outstanding contract notes

- Investigating and Issuing policy breach or reminder emails to employees who have breached the PA trading policy

- Supporting Control Room on ad-hoc projects

- Performance of holding period violations checks for employees

- Performing UAT testing on trade request system as and when necessary

- Performing conflict of interest checks

- Should ensure that team meets its KPI's and process is MPP compliant

- Should ensure compliance to strong governance model as laid down

- Post graduate or a graduated with sound understanding of financial market

- Should be a good team player

- Experience in leadership role within Personal Account trading team would be preferred

- Excellent stakeholder management, communication and organizational skills a must

- Ability to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to detail. Proven innovator, ability to change the perspective of the organization and think laterally

Ankita Mishra
Enigma Human Capital
9807673995