Job/Soft skill training

Cafeteria

Black Turtle Reviews by Employees

Senior Consultant

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Senior HR Consultant

Employee compliance, personal account dealing, PA training, US/UK registrations, regulations exp, insider information, personal trading, knowledge of financial products (ETF, shares, bonds, derivatives, etc) Purpose of the role: - To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks. Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls. Accountabilities: - Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices. - Implementation of surveillance and monitoring systems to track and report on employee behaviour. - Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations. - Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards. Analyst Expectations: - Will have an impact on the work of related teams within the area. - Partner with other functions and business areas. - Takes responsibility for end results of a team's operational processing and activities. - Escalate breaches of policies / procedure appropriately. - Take responsibility for embedding new policies/ procedures adopted due to risk mitigation. - Advise and influence decision making within own area of expertise. - Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. - Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct. - Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function. - Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. - Make evaluative judgements based on the analysis of factual information, paying attention to detail. - Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents. - Guide and persuade team members and communicate complex / sensitive information. - Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

Pune

Assistant Manager - Personal Account Trading 

Job Description for Assistant Manager - Personal Account Trading  in Black Turtle India Pvt Ltd in  Pune for (2-6) years of experience. Apply Now!

Assistant Manager - Personal Account Trading  | iimjobs.com