Vice President - Compliance - Trading Surveillance - Investment Bank

Employer : Leading Investment Bank

Position : Vice President ( 9yrs+)

Role : Compliance- Securities

Location : Bangalore

Qualification : CA / MBA with relevant exp in Compliance

Role Description:

Compliance Risk Control Group (CRCG) as part of the Securities Division Compliance team provides coverage and support to the Equities Sales and Trading business for Asian countries. The primary responsibility of the

CRCG team is to monitor and perform surveillances, enhance surveillance control, perform oversight and regular review of polices and procedures for various Asian countries.

- Grasp business, compliance and regulatory rules and policies

- Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading

- Take ownership and provide feedback on reports, creating checklists and resolving exceptions

- Provide guidance to internal clients on appropriate interpretation and application of policies/procedures

- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers

- Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation

- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm

- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant

- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology

- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe

- Identify and effectively escalate potential issues to the appropriate person/s

- Communicate findings to compliance colleagues and suggest potential corrective actions to address issues

- Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Please share below details if you are interested:

1. Current CTC
2. Expected CTC
3. Current Employer
4. Notice Period
5. Ok for Bangalore-Yes/No

Saket
Phenom Placement