- Excellent opportunity to be part of the executive team with excellent future prospects. - 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. - Supervise the Surveillance &amp; 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 - You are a compliance expert with 12+ years of experience in regulatory compliance within a banking or financial services firm. You have exposure to local and international legislative initiatives like Data Protection, Sanctions, FATF, KYC and AML with expertise in payment regulations. You also have strong team management skills combined with experience in working with global teams.

Mumbai

Head - Compliance - Foreign Exchange Brokerage Firm 

Job Description for Head - Compliance - Foreign Exchange Brokerage Firm  in Michael Page in  Mumbai for (12-17) years of experience. Apply Now!