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08/06 Jyoti Kakran
Consultant at TotlRPO Solutions LLP

Views:438 Applications:105 Rec. Actions:Recruiter Actions:36

Regulatory Compliance Role - Investment Banking (5-12 yrs)

Mumbai/Pune/Bangalore/Delhi/Delhi NCR Job Code: 1108017

Your main objectives will be to -

Support the governance, initiatives and engagements around the Regulatory landscape affecting the IB Business, including but not limited to -

- Assist in understanding & analyzing the impact of a diverse & evolving set of Regulations and Regulator expectations, both functional and jurisdictional, on the IB Business in conjunction with Compliance.

- Ensuring articulate communication of this analysis & resultant requirements to the IB Business through well-thought deep-dives & read-across

- Assist Team head in development of a robust network within the Industry for understanding & leveraging market perspectives on the Regulatory Landscape for consideration across the IB

- Develop trustworthy and reliable Subject Matter Expertise for senior stakeholders (within IB & Corporate Functions, LODs and multiple LEs), by maintaining an ongoing dialogue with them & seeking their engagement and views towards better Regulatory compliance & on key Regulatory projects

- One of the key points of contact for the IB Business to assist them in the implementation & tracking of key Regulatory projects ensuring delays are prevented or appropriately highlighted

- Support the IB Controls engagement on Regulatory reviews & examinations with adequate data, analysis, issue finalization and facilitate determination of valid & practical remediations with appropriate business buy-in.

As part of this role, you will work for the IB Controls & Regulatory COO portfolio. The following highlight some of the key attributes we are looking for:

- Significant experience within financial services or in an international investment bank.

- A strong background in Global Markets and Investment Banking products.

- A sharp understanding of Business risk, policy & processes, governance framework and need for controls

- Experience in surveillance & monitoring will be an asset

- Established Track record in understanding the Regulatory landscape across a number of jurisdictions impacting Investment Banks or similar institutions.

- Able to interpret regulations and the impact of the same for Investment banks and wealth management activities

- A good understanding of cross border activities and its implications to business is beneficial.

- Understanding of IB business & products with particular emphasis on E2E trading workflows including sales, execution right through to settlement.

- Experience in transaction monitoring would be helpful

Women-friendly workplace:

Maternity and Paternity Benefits

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