Senior Manager/VP - Investment Compliance - BFSI

We are looking for Candidates :

- Who have experience in Investment Compliance, Portfolio Compliance, Extraction, coding.

- Who have International experience, Candidates with experience in handling only domestic region would not be considered

- Candidates with experience in AML, Legal would not be considered

- Oversees the preparation and dissemination of investment compliance results to clients, auditors and regulatory authorities.

- Manages activities of the Investment Compliance Monitoring area through first level managers to ensure consistency of policies and adherence to procedures.

- Proposes and works to implement workflow changes and supporting technical solutions leading to improved productivity and profitability.

- Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.

- Manages direct reports on an ongoing-basis. Provides coaching and development opportunities for staff.

- Participates in the development and management of the departmental annual budget.

- Develops and establishes operational policies within area managed.

- Evaluate current operational and technical infrastructure and define strategic direction for development and change; including opportunities for efficiency and quality improvements.

- Serves on committees and leads projects that impact operations.

- During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.

- Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.

- Participates in the hiring, salary, promotional and termination recommendation process.

Qualifications :

- University degree in Business majoring in Accounting, Finance, or another Financial-related program. Inter C.A/Inter ICWAI or CFA (pursuing) will be preferred

- Prior relevant work experience of 10-15 + years including prior investment compliance monitoring experience.

- Experience analyzing investment guidelines and policies to determine testing requirements.

- Familiarity with regulatory compliance testing.

- Highly proficient with Microsoft Office Products (Excel, Word)

- Demonstrated managerial, leadership and decision making abilities

- Excellent communication, organization, interpersonal planning, and analytical skills

- Ability to effectively bring individuals from multiple areas together to resolve identified issues.