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04/11 Anshul Bangia
Partner at Symphoni HR

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Vice President - Employee Trading & Investing - Legal & Compliance Division - Bank (9-15 yrs)

Mumbai Job Code: 760693

A leading global bank in Mumbai is looking for VP - Employee Trading and Investing for Legal & Compliance division responsible for supervising the employee trading team for monitoring, surveillance and advisory tasks.

Roles and Responsibilities:

- Work with Human Resources, Litigation, Business Unit Management, Senior Management, etc. on potential violations

- Promote compliance activities regarding Employee trades and Outside Business Interests

- Implement and enforce Compliance controls, Employee Trading and Investing policies

- Resolve employee queries regarding employee trading policies, investing and outside activities

- Work with global teams on the Technology book of work and efficiency initiatives

- Undertake periodic supervisory reviews on team's tasks


- 9+ years of Compliance experience preferably in Employee Personal Account Trading

- Leadership experience - Hiring, Training, and Team Management

- In-depth knowledge of regulatory regime in different jurisdictions, financial markets and products

- Understanding of the employee Personal Account Dealing as per regulatory regimes

- Comfortable working with technology and the ability to provide solutions to enhance system efficiency

Timing: 7.30AM to 4.30PM

Women-friendly workplace:

Maternity and Paternity Benefits

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