VP - Trade Operations Compliance - Surveillance & Investigations - Bank

Discipline - Banking

Subsector - Compliance & Regulatory

Location - Mumbai

About our Client - Our client is a leading commercial bank with operations in more than 50 countries worldwide. They are an esteemed brand within the global banking industry and always strive to recruit the best talent in the industry. With the current expansion in their global operations, they are looking for a seasoned professional for their setup in Mumbai to manage the APAC operations.

Job Description - The function assists the Compliance Head in providing overall Compliance support to 14 countries within APAC from the perspective of local regulations and Firm policies. The key responsibilities are as below:

- Assisting the Compliance Head in providing compliance support to trade related activities

- Ensuring effective Compliance oversight on all activities

- Providing advisory on regulatory requirements and firm policies to the business units

- Monitoring and testing the activities of the units to ensure that the units are complying with regulatory requirements and firm policies, and maintaining a record of such monitoring and testing

- Tracking changes in the regulatory requirements in the organization and informing concerned units promptly

- Also updating the RRI / RRM of the organization

- Ensure that new hires are given training on the Compliance policies and procedures

- Attending to regulatory queries and reporting

- Work closely with units and control functions to identify potential issues and take prompt corrective actions

The Successful Candidate - You should be a seasoned compliance professional with 10+ years of experience

- Practical experience gained in the field of risk, compliance, governance and a working knowledge of trade operation issues. In addition, experience in Banking/Financial Services is a must

- You should be comfortable with working with teams in different geographies and across international business units

What's on Offer - Excellent Brand, Challenging role, Great work culture and fast paced growth for the right candidate. Also work closely with global leaders.

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