Senior Analyst - Regulatory Compliance - Gifts & Entertainment

Key Responsibilities / Duties:

Provided below are Key responsibilities/areas of work:

- Globally manage end-to-end training administration processes for all global Compliance trainings across Americas, APAC and EMEA regions. Key activities include:

- Be a subject matter expert on the features/functionalities of the learning management systems and tools

- Configuration of training contents received from global training owners on the learning management system - configuration of presentations, audio and other elements in appropriate format

- Assignment of trainings to employees and consultants

- Providing support to employees globally in resolving technical issues

- Tracking completion status of trainings

- Performing analysis on training completion status and trends

- Preparation of periodic reports on status of completion of trainings

- Support Global Ethics Office team on specific activities such as:

- Performing first-level analysis to detect potential breaches to personal trading policy for black-out conflicts

- Perform analysis of gifts, benefits and entertainments declared by the employees for countries in Americas, EMEA and APAC regions to detect potential policy breaches/red flags

Preparation of periodic Regulatory reports:

- Regulatory filings of SFC and MAS for Hong Kong Compliance teams

- Sub-Advisor Due Diligence Questionnaire for Hong Kong

- Policy Management support for global Compliance policies, such as:

- Be a subject matter expert on the features/functionalities of the tool utilized

- Configuring the polices as per standards and support the policy owner across global

- SharePoint maintenance of global Compliance policies, follow up's on overdue polices and periodically tracking policy revisions or updates for CCO's

- Support Compliance teams in Americas region to track completion by FINRA representatives, of specific FINRA requirements such as Licensing and Registrations and Continuous Education.

- Prepare and maintain documentation of procedures, process-flows and roles and responsibilities, for the activities being managed from Hyderabad.

- Maintain, track and report key performance indicators/metrics for Compliance related activities.

- Maintain highly confidential files with respect to sensitive information.

- Execute special projects and ad hoc tasks as required.

- Partner effectively with local and global Compliance team members and other business functions as required.

- Contribute to firm's global initiatives and programs relating to process improvements, enhancing automation, process standardization across countries, improved analytics, and others

- Escalate issues effectively to appropriate levels of management.

Working Conditions:

- Working hours will be from 11.30 AM to 8.30 PM IST. however, the schedule may change from time to time based on business, process or project related requirements

- Shall be open to work flexible hours

Work Experience / Knowledge:

- 2-4 years of related work experience demonstrating the skills identified; preferably in Global Ethics Office/Code of Ethics or similar Compliance domains in Asset Management industry / similar regulatory environment. Knowledge of financial products will be added advantage.

Skills / Other Personal Attributes Required:

- Good written and verbal communication skills

- Interpersonal skills necessary to effectively communicate over phone with a variety of individuals across various regions and levels

- Strong analytical skills and attention to detail

- Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations

- Team player

- Proficiency on MS Office suite of application

- Formal Education: (minimum requirement to perform job duties)

- MBA or Degree in Commerce/Finance