Manager - Compliance - Employee Services Group - Investment Bank

Manager_Employee Services Group -Compliance_Bangalore

We have excellent job opening with leading Investment banking

Position : Manager_Employee Services Group -Compliance

Reports to : AVP

Experience Required : 6-10 years

CTC : Open to Discuss

Job Location : Bangalore

Job summary :

- The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Department's success.

- Compliance is now seeking an Manager within the Employee Compliance Group (- ESG- ). The primary focus of the group is to review, approve and monitor employee activity within the Personal Trading, Gifts and Entertainment, and Outside Business Interests divisions throughout EMEA, Americas and APAC.

Primary Job Responsibility :

- Hands on experience in various processes of Employee Trading Compliance : Personal Account Dealing, Outside Business Activities and Employee Annual Attestations

- Outside Business Activities : To monitor employee's Outside Business Activities and check for any conflicts of interest exists between employee's role at company and his outside business activities and prepare the analysis using internal and external sources to protect company from any reputational, legal, regulatory or compliance risk.

Personal Account Dealing : Approving, monitoring, analyzing and reviewing the trades executed by employees are as per the companies policies and procedures

- Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures

- Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner.

- Preparing MI and Tracking KPI's and Status updates for senior management.

- Handle the team of Analysts and Senior Analysts, Team management and People Development.

- Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions

If Interested, relevant experience candidates can apply.

Careernet
Raj Kumar