Manager - Core Compliance Electronic Communication Surveillance - Investment Bank

The opportunity is with a leading global IB.

Responsibilities :-

To ensure relevant compliance monitoring and surveillance is in place.

Timely and accurate reporting of risks to Senior Management and stakeholders including KPI/KRI reporting

Will be a part of Core Compliance Electronic Communication Surveillance team to administer the surveillance process.

Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager.

Remain updated on developments and changes concerning relevant regulatory regulations

Develop and maintain a good understanding of the Firm's business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities

To lead UAT of new system enhancements, policy or keyword reviews.

To assist in SOP reviews, escalations and stakeholder queries.

Key skills needed :-

Self-starter and ability to multi-task under pressure and meet various deadlines.

Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt.

Compliance Background

Experience in Monitoring and Surveillance applications

Graduate or PG with min 2 years of experience in the Securities or Financial services industry

Candidates with experience in Electronic communication or Email surveillance will be preferred.

Job Profile:

Candidate has to assist transition from CA Symantec to Dataminder for approx. 3 months.

During the migration, candidate will also have to review the alerts that will be generated from Dataminder, figure out anomalies and notify seniors about the same.

Will also support the Core Compliance team on PA Dealing, Training, Ecomm Surveillance and other Adhoc approvals .

It is going to be an IC role and after the successful migration from CA to Dataminder, candidate will be either be absorbed in the Ecomm or Core Compliance team.

Shift - General (Extended)