Assistant Vice President - Control Room

Assistant Vice President - Control Room (Information Barriers, MNPI, Insider Lists, Market Abuse), Pune

Description:

Purpose of the role

To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists.

Accountabilities:

- Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI.

- The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.

- Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.

- Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.

- Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.

- Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.

- Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.

- Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.