Control & Compliance Role - BFSI

Control - Compliance

Roles & Responsibilities :

- To monitor and approve the Personal Account Dealing and Gifts & Entertainment

- To conduct reviews of Watch and Restricted List surveillance reports

- To monitor disclosure of Outside Business Interest & Affiliation Manage Chinese Wall tagging process globally

- Ensure appropriate disclosures are updated in the research reports Update manuals, policies and procedures relating to the trade surveillance program

- To monitor the firms trading positions, analyzing and preparing relevant disclosures for significant shareholding / Takeover deal for EMEA region.

Key Skills :

- Must have a good understanding of Security Market and Investment Banking products

- Good Interpersonal skills; high ethical standard; collaborative; willing to learn and adapt

- Excellent analytical skills with a disciplined approach to documenting and reporting, with a keen eye for detail being important

- Perseverance in investigating and identifying issues for potential escalation

- Good IT skills are required, the individual should be able to show willingness to explore and be part of future system development work

- Exposure to risk management and compliance profile preferred

- Highly driven and motivated individual who challenges existing processes with a view to improvement.