Manager & Sr Manager (Law) - Regional Security (8-14 yrs)

Location: Bangalore

Client :- A reputed US Financial services company in Bangalore

Job Title:- Senior Manager-Regional Security officer (Law) [US Federal laws, SEC Regulations, TA regulations]

Experience – 8 to 14 years

Qualification:- Any graduate

Roles and Responsibilities: The selected individual must meet the following criteria’s:

- Leads implementation efforts of new/ existing regulatory policies and takes into consideration business unit level and legal entity level.

- Approves new business unit procedures and implementation of procedures, system enhancements and controls.

- Demonstrates comprehensive command of compliance policies and practices.

- Advises business units how to implement compliance practices to support short and long-term business initiatives.

- Identifies trends in the business and anticipates future training needs;

- Advises trainers and provides compliance awareness at the appropriate levels across multiple business units/partners when highly complex regulatory issues will impact business activities.

- Writes and finalizes regulatory filings, reports and responses to regulators on complex inquiries.

- Prioritizes areas where internal and business unit reporting is needed.

- Drafts and reviews board reports. Supervises preparation of reports by team.

- Creates and maintains a governance structure to report compliance matters to boards, oversight committees and senior management.

- Identifies resolves and escalates issues related to monitoring, testing and reviewing that have enterprise- wide impact and require action.

- Initiates and develops process improvements.

- Leads resolution of complex remediation of audit and regulatory issues brings them to closure and communicates outcomes to senior business leaders.

- Recommends a course of action.

- Approves and releases the response to complex inquiries.

- Establishes and maintains collaborative working relationships internally with business unit partners, technology, internal service providers (legal, procurement) and industry peers to resolve complex issues

Must Haves -

- US Federal Securities laws experience

- Experience with SEC regulations

- Experience with TA regulations (17 Ad rules)

Please send your resume to ashwini@recruiseindia.com

Ashwini