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09/06 Hiral Shah
Branch Manager at Pylon Management Consulting

Views:6933 Applications:91 Rec. Actions:Recruiter Actions:89

Senior Manager/VP - Investment Compliance - BFSI (10-15 yrs)

Mumbai Job Code: 343973

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.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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