Manager - Compliance - Disclosure - Investment Bank

We have an opportunity with one of the Investment Bank for the role of Compliance- Disclosure

Location: Mumbai.

Job Description:

Job Responsibilities as follows:

- Responsible for control room different surveillance and monitor processes.

- Responsible to perform Actimize alerts review for Watch list, Restricted list, trading ahead of market, trading ahead of research alerts and escalate potential breaches to regional control rooms.

- Responsible to perform different regional control room tasks and activities like Chinese wall tagging, maintenance of Watch & Restricted list, work closely with the regional control rooms for tagging validation.

- Responsible to monitor and approve the Personal Account Dealing and Gifts & Entertainment requests as per policy & procedures.

- Close communication with regional stakeholders and organizing scheduled weekly/monthly calls with structured agenda and minutes.

- Responsible to perform quality checks and provide support to other team members.

- Ensure MIS data, Checklists and process related procedures are updated and accurate.

- Prepare business requirement documents, process map and assist IT team in developing IT infrastructure. As well responsible to conduct UATs for IT projects from Compliance operations.

- Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt.

Key Skills:

- Strong understanding of Financial markets, products business areas with strong analytical and project management skills.

- 7-10 years of Compliance experience in financial services industry.

- Detail oriented, with strong follow-up and analytical approach to problem solving.

- Strong analytical and project management skills. Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT).

- Understanding about compliance Monitoring & disclosure functions.

Qualification and Experience:

- Graduate or PG with minimum 7-10 years of experience in the Compliance or capital market services industry.

- Ability to organize and analyse complex data sets with an ability to multi-task under pressure and meet various deadlines.

- Flexibility to work in rotational Shifts.

- Eye for details to perform detailed review of assigned task and process.

- Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT).

- Ability to easily grasp policies and rules, comprehend and escalate operational and regulatory risk in the process.

Shahista Malim
Black-Turtle