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Assistant Manager/Manager - Employee Compliance & Personal Account Dealing (5-12 yrs)
Require candidates with Personal Account Dealing or Employee Compliance experience Responsible for US Compliance on-boarding process for all new employees with respect to Personal Account Dealing Policy and New Joiner Attestation requirements
- Monitoring of employee personal account declarations and reconciliations
- Exceptions monitoring for employee personal trades mismatch on behalf of US compliance
- Provide all necessary reports, periodic management information, and such other information as may be required by US Compliance in connection with the processes supported
- Prepare MI
- Administer Quarterly and Annual Attestation program roll outs, monitor completion status for timely closure of programs.
- Participate in execution of policies and procedures and identifying policy breaches, working closely with US colleagues.
- Identify, facilitate and implement process improvement ideas to improve efficiency.
- Publish monthly MIS reporting
Hetal.
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