Department Head - Global Operational Compliance - Surveillance & Investigations - Foreign Exchange Brokerage Firm

Industry - Financial Services

Skills - Compliance, surveillance, communications, emails, chat, voice, markets, trading desk, investment bank, banking, global business, head, traders

Job Type - Permanent

Description - Excellent opportunity to be part of the executive team with excellent future prospects.

Client Details :

Our client has global operations with a big name amongst the foreign exchange brokerage firms. They are looking to fill this leadership position as a part of their expansion plans.

Description :

- Supervise the Surveillance & Investigations Team in Mumbai

- Define trade investigations coverage, in cooperation with the Program Head

- Define transaction data-points and parameters to identify potential market misconduct or suspicious behavior

- Source and trend existing data from Trade and E-communications Surveillance, Employee Trading, Information Barrier Surveillance, Compliance Monitoring, and potentially other stakeholders

- Perform deep dive reviews of E-communications and transaction data of identified targets against predefined market misconduct scenarios to identify actual regulatory breach

- Report conclusions and organize and lead calls to escalate issues or concerns, provide updates and ensure country's continued oversight, also discuss outcome of investigations and actions to be taken

- Track escalations of investigation results to ensure that all outstanding items are followed-up to completion and that appropriate actions are taken for cases where employee misconduct actually occurred

Profile :

You are a compliance expert with 12+ years of experience in operational compliance within a banking or financial services firm. You have exposure to local and international legislative initiatives like Data Protection, Sanctions, FATF, and AML with expertise in payment regulations. You also have strong team management skills combined with experience in working with global teams.

Job Offer :

Excellent opportunity to be part of the executive team with excellent future prospects.

Page Group India is acting as an Employment Agency in relation to this vacancy.

Contact - Gunjeet Ahluwalia

The Apply Button will redirect you to website. Please apply there as well.