Partner at Symphoni HR
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Vice President - Employee Trading & Investing - Legal & Compliance Division - Bank (9-15 yrs)
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
Requirements:
- 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
