Surveillance/Compliance - BFSI

Currently there is an immediate opening with a leading financial services for Communications Surveillance position based in Mumbai.

Job Responsibilities:

- Conduct daily analysis & investigation of alerts, generated by an Automated Communication Surveillance solution covering APAC employees and targeted to identify instances of Inappropriate Communication, Potential Leakage of Inside Information, Improper Market Practices and other communications.

- Follow up and escalate of significant matters identified as part of the surveillance process and ensure that the team members properly perform in-depth assessments of identified alerts.

- Ensure that the review comments are properly recorded for audit purposes.

- Perform and manage expectations of country Markets Compliance, Group or Regional Head of Compliance in relation to investigations required for regulatory or audit purposes.

- Perform other functions or ad-hoc tasks which may be assigned by Regional Compliance Management.

Experience:

- Experience working within the financial industry especially in securities dealing/brokering, is highly desired.

- Should have a strong interest in the financial markets and a basic understanding of the overall activities

Qualifications:

- MBA

- At least 2 years work experience within Financial industry or Compliance environment

- Knowledge of financial products specifically equities, fixed income, commodities and currencies

If keen please send your resume at meeta.srivastava@leadstalent.com

If keen send resume or call Norine at 09004662187