AVP/Analyst - Compliance Officer - Trade Surveillance - Investment Bank

AVP-Looking for someone with 6 -9 years of experience in trade surveillance and trade monitoring area.

Willing to work in US/UK Shifts.

- Analyst - Looking for someone with 3-6 years of experience in Compliance /Trade Surveillance, who is good with excel (Vlookup, hlookup), data entry and good communication skills.

For a leading Investment Bank in Pune.

Description

- An exciting and challenging role as Team Lead (Transaction Surveillance) within Chief Compliance and Regulatory Affairs (CCRO).

- You represent the team at functional and divisional management meetings, you work as a partner with senior management to ensure compliance with regulatory requirements and Bank's Policies, Procedures and Standards in a controlled and compliance oriented manner.

Functional Responsibilities include:

- Conducting reviews of transactions/trade surveillance alerts to detect potentially abusive trading activities.

- Identifying, escalating and taking steps to mitigate risks.

- Contributing to the efficiency and effectiveness of existing surveillance alerts as well as to the development of new routines, promoting awareness of applicable regulatory standards, up streaming risks and industry best practice across the business and relevant support areas.

- Monitoring the issuance of new or revised regulations in US & UK and collaborating closely with the business/functional managers to ensure compliance with the regulations, including advising on the implementation of the relevant processes and controls to mitigate regulatory and compliance risk.

- Participate in new business initiatives and the product due diligence process by providing timely and comprehensive advice from a compliance and regulatory perspective.

Managerial responsibilities include:

- Providing day-to-day functional and people management for the Transaction Surveillance process and projects deployed to Pune BDC

- Ensure BAU operations are executed within stipulated SLA, TAT and QA parameters.

- Task allocation, volume management, stakeholder expectation management

- Perform supervisory controls and performance reviews for team members and provide SME trainings

- Execution of efficiency and effectiveness measures

Qualifications

This role requires excellent analytical skills and organizational skills with good verbal and written communication and people management skills. The ideal candidate would possess the following qualifications and skills:

- A minimum of 6 to 8 years of Compliance experience in a comparable role in the banking industry or related work experience with a regulatory body.

- Prior experience in a similar position in an international environment preferably in a financial services or regulated industry.

- Training experience and/or Compliance or other risk and control function experience is highly desirable.

- Deeply detailed oriented, with excellent follow-up capabilities, sound Project Management knowledge.

- Very good interpersonal and organizational skills and flexibility to adapt to short term changes.

- Proactive approach, willing to suggest and develop new ideas.

- In-depth knowledge of the Banking Act, Securities and Futures Act, and Financial Advisors Act as well as corresponding regulatory notices and guidelines in US & UK.

- Investment Banking and Private banking experience desirable.

- Experience in overseeing and managing a highly effective compliance function in a financial services industry.

- Strong writing, analytical, research and communication skills and be able to multi-task and complete projects on time.

- Excellent stakeholder management, communication and organizational skills a must, ability to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to detail.

- The ability to collaborate effectively with stakeholders in the bank, including other risk and control functions, front office and other members of the Compliance team regionally and globally.

- Very good Office skills including PowerPoint, Excel, Word and Outlook.

- Ability to work in US shift.