Analyst/Associate - Compliance - Investment Bank

Hiring for one of the Investment Banking firm for Compliance roll.

Firm's Compliance Department protects its reputation and provides client focused advice. It understands challenges and advises on the impact of regulation in our business, with the objective of :

- Actively participating in business decisions to champion our clients- interests and assist the business to translate Compliance into their daily work

- Have client interests at the centre of everything we do

- Cultivate and enhance the compliance culture within firm

- Provide thought leadership on the impact and implementation of regulation

- Developing and fostering excellence within the Compliance team

Location: Gurgaon

Job Purpose/Background :

Legal & Compliance function is looking for a compliance professional to join their centralized Core Compliance team in Gurgaon, primarily focusing on handling the process to support the UK registration process for its Approved Persons (APER):

Key Responsibilities :

- Identification and initial contact with new joiners requiring FCA registration

- Extensive liaison with UK Core Compliance team, Human Resources & employees

- In conjunction with HR, obtaining required background checks

- Collation of documentation to meet regulatory expectations

- Review of emails and appropriate escalation

- As required interaction with the UK regulators Financial Services Authority (FCA)

- Assisting in the collation of Quarterly Management Information

- Assisting in the quarterly FCA / BLK record reconciliation

- The role also includes significant engagement with individuals at all levels across the EMEA business areas and an ability communicate at these levels is essential.

- Providing support and advice to employees regarding the Approved persons process

- Participation in EMEA and Global projects relating to Approved Persons and Training and competence,

- Effective communication and escalation to EMEA Core team on APER issues

Development Value :

- Great opportunity for an individual to build relationships within firm with the potential for a longer term career within the Compliance team

- Potential to bring fresh perspectives

Knowledge/Experience :

- Experience within an asset management or investment banking environment

- Experience of FCA regulatory requirements relating to approved person registrations preferable

Skills/Qualifications :

- Strong organizational skills

- Self-motivated with a - can do- attitude and an ability to use own initiative.

- High standard of accuracy and excellent attention to detail

- Strong communication skills both verbally and written with the ability to communicate effectively at all levels of the business including external parties.

- Self-motivated, collaborative team player

- Strong Microsoft skills

- Ideally a degree level candidate would be preferred - educational background should be outlined within the CV

- Potential candidates should be aware that this is a high profile role where communication and organizational skills are critical to success.

Competencies :

- Team work

- Communication

- Confidence in understanding the current regulatory landscape