Assistant Manager/Manager - Investment Compliance - Banking & Finance

Investment Compliance:

A) Personal Trading Guideline:

- Ensure timely updating of the guideline as per regulatory requirements, benchmarking as may be required for the necessary updation and implementation.

- Oversee implementation and monitoring.

- Conduct quarterly verification for adherence to the requirements of the guidelines.

- Seek information for potential breaches and recommend corrective actions.

- Training and awareness on the guideline requirements.

- Coordinate with relevant stakeholders as may be required for timely implementation, reporting and closure of issues, if any.

B) Investment call recording review:

- Manage periodic reviews of investment-related call recordings to assess adherence to regulatory and internal compliance requirements.

- Identify conduct risks, market abuse indicators, unsuitable investment discussions, or policy deviations, if any in the recordings of dealing room.

- Perform thematic reviews and root cause analysis of observations as may be required.

- Prepare and present compliance findings, trends, and remediation plans to senior management.

- Partner with front-office teams to strengthen control environments and promote best practices.

Management Reporting:

- Monitor key compliance metrics, trends, and emerging risks using data-driven reporting techniques.

- Ensure accuracy, completeness, and timeliness of reports delivered to senior leadership.

- Ensure reporting aligns with governance requirements and regulatory expectations.

- Support Board and Committee meetings through preparation of materials and follow-up actions.

- Co-ordinate with stakeholders for timely submission of the reports.

- Drive implementation and continuous enhancement of Group Governance Framework.

- Monitor compliance with established policies, standards, and control requirements.

- Coordinate governance reviews, policy attestations, and framework assessments.

- Track risk and control issues, remediation activities, and closure effectiveness.