Compliance Control

Compliance Risk

Job Summary & Responsibilities

Principal Responsibilities

- Review and Oversight of Controls

- Review of surveillance exceptions with Business Personnel and Compliance Officers.

- Monitor that surveillance reviews are being performed properly from a qualitative and timeliness perspective.

- Oversight of exception reviews generated by detective controls.

- Identify enhancements to existing controls.

- Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.

- Participate in periodic risk assessments.

Development of Controls

- Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.

- Apply a consistent approach across businesses, products and regions.

- Develop associated functional specifications and testing scripts.

Management Information Systems

- Develop and/or enhance systematic processes for escalating issues.

- Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.

- Coordinate issues, findings and practices with colleagues across regions and/or divisions.

- Management reporting.

- Reporting of exception reviews generated by detective controls.

Experience / Skills / Systems Requirements

Required:

- Inquisitive and proactive in identifying risks and proposing solutions.

- Good interpersonal skills and excellent written and oral communication skills.

- Ability to work with a variety of senior and junior people, and build smooth working relationships.

- Highest attention to detail.

- Good team player - one who is able to prioritize in a fast moving, high pressure, constantly changing environment.

- Entrepreneurial inclination - ability to work alone and act as project manager.

- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.

- Ability to handle multiple tasks simultaneously and work under tight deadlines.

Desirable:

- Previous experience in Compliance, Surveillance, Internal Audit or other control function an advantage.

- Basic knowledge of securities markets, businesses, products.

- Basic working knowledge of securities and exchange rules and regulations.

- 2 - 5 Yrs Experience

Interested candidates can contact me on Harini.reddy@peepalconsulting.com