Assistant Manager/Manager - Risk & Compliance - BFS

Key Accountabilities:

- Manage the process to ensure timely setup of issuers/entities in the disclosures system

- Create and review data reconciliation and monitoring reports to identify exceptions and follow up as necessary with Research Production Research Compliance, Research IT and the various data providers.

- Appropriately escalate concerns to Research Operations management in a timely manner

- Critically analyze existing processes to identify opportunities for improvement in controls and efficiency and drive the implementation of these enhancements

- Work closely with IT to specify requirements for system automation, and test new enhancements to the disclosures systems - validating both the functionality and data quality

- Ensure that all operational processes are clearly and accurately documented, as processes are added, enhanced and revised due to regulatory change.

- Gather and analyze data from multiple sources to produce regular and ad hoc MI

- Gather, update data and present information meaningfully, such that it helps management decision making and provides a robust control environment.

Skills:

- Hands on Experience on Risk, Compliance, MIS Reporting, VBA or Macros & any of the BI tools along with it.

- Operational Risk Management and Compliance functions, and therefore requires someone who can effectively communicate and operate with teams across the organization, in multiple locations and time zones

- Focus - Absolute attention to detail and accuracy when reviewing and creating reports

- Teamwork - work within a team environment both locally and across different time zones

- Independent - ability to work independently on tasks without direct supervision since team is distributed globally

- Technology - strong system and package skills with the ability to learn in-house publishing applications and systems

- Commercial and risk awareness - understand the commercial and regulatory environment in which we operate and ensure risks are appropriately managed and escalated

- Project management - good project management skills to manage individual's tasks and ad hoc projects

- Analysis - ability to think through problems and issues and put forward practical solutions

- Time management - effective time management to ensure tasks are completed within agreed timescales and deadlines

- Initiative/self-motivation - act on own initiative, identify opportunities and be proactive in putting forward ideas and solutions

- Flexibility - to adapt successfully to changing situations and environments

- Prior experience in an operational role is strongly preferred.

Deepti Shetty
HR Consultant.