AVP - Compliance - Investment Bank

We are hiring for one of the top leading investment bank for senior level position.

Job Description.

Existing compliance management framework includes, but is not limited to, the following;

1. Compliance oversight to policies and procedures to govern compliance risks

2. Cultivate a strong compliance culture by creating awareness at all levels using structured training programs

3. Timely and accurate reporting of risks to Senior Management and stakeholders including KPI/KRI reporting

4. Conduct compliance risk assessments

5. Validate and update RCSA for comprehensiveness and adequacy

6. Define appropriate KRIs with thresholds and monitor breaches for identifies risks

7. Promote sharing of Best Practices across Compliance

8. Coordinate with other Control functions to strengthen overall internal control

Role & Responsibilities:

Key Skills:

Mandatory Desired Domain

- Working Knowledge of F/X markets, products and trade life cycle of F/X products

- Surveillance experience in Forex or Money markets (F/X)and derivatives will be added advantage

- The person should be personable, collaborative and a strong communicator.

- Detail oriented, with strong follow-up. Ability to work independently and interact with all levels of stakeholders

Knowledge of F/X Trading systems, MS-Office

- Trade Monitoring and Surveillance function undertakes a program of risk based surveillance to monitor compliance with regulatory and internal policies, standards and procedures.

- The analyst supporting this function will be responsible for conducting daily surveillance of company's trading activities across Equity, Fixed Income, Derivatives and F/X products report to senior management wherever applicable

- The employee will be primarily focused and responsible to monitor and conduct surveillance activities for potential Market Abuse in F/X products ranging from spot, forwards swaps and derivatives etc.

- Escalate appropriately cases for potential market abuse and assist in investigations - Participate in UAT of upgrade and new models in surveillance systems