Compliance Officer - BFSI

Role Description: Officer in the Compliance Team

Job Title: Officer

Business Area: Compliance

Functional Team: Compliance Team

Employment Location: Pune

Reporting to: Team Lead - Compliance service

Job Type: Permanent

Department Summary :

The Compliance & Legal team is responsible for Country Coverage for Compliance, Legal and Company Secretarial functions for all business lines, products and entities in India. Apart from being responsible to the Management in India as its main stakeholder, the team works closely with Global Compliance and Legal team, Anti-Money Laundering team, Central Compliance, Control Room etc. for respective managerial support and practice areas as applicable. The team also interacts with clients, if necessary, for matters including but not limited to client on-boarding, surveillance and empanelment.

Job Responsibilities :

- Daily analysis and Investigation of alerts generated by an Automated Trade Surveillance solution across Equities and Fixed Income covering Market abuse and Insider dealing behaviours for allocated jurisdictions.

- Liaise with different Regional compliance officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures.

- Review of PTTC staff trading communication items, reconciliation of staff statements against PTCC trade requests.

- Data entry of Conflict Clearance forms into Conflict Management System.

- Manual clean up/review of Conflict management system.

- CPT training recording/monitoring.

- Review of staff trades against research reports

Essential Skills and Experience :

- Hands on experience in various process of Surveillance.

- Experience relating to Compliance, Control Room or Internal Audit.

- Understanding of compliance risk, management concepts and regulation requirement will be an advantage.

- Insight into key compliance process, procedures, systems and structures.

- Inquisitive and proactive in identifying risks and proposing solutions.

- Ability to take up multi-tasking and accomplish tasks in priorities in a timely manner.

- Analytical mind and good presentation skills.

- Ability to build rapport with co-workers/colleagues in the Central Compliance team across the globe

Educational / Professional Qualifications :

- 3 years of experience in Trade Surveillance.

- Familiarity with SMARTS / Actimize systems will be an added advantage.

- Bachelor's or Masters in Commerce and Finance/Banking.

Communication Skills :

- Strong Communication skills capable of working with different levels of staff from all the Asia Pacific Countries.

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

Salary Offered : 6-8 LPA