Vice President/Senior Vice President - Compliance Operations - BFS

Vice President/Senior vice President Operations-(-Compliance)

- His is a role within the Indian and APAC Securities Division Compliance Team with a primary focus the Institutional Equity Sales and Trading businesses, reporting to the Head of Institutional Equity Compliance.

- The successful candidate would provide support to the various areas within the Cash Equity sphere which includes Sales and Sales Trading and Trading for the Pan Indian APAC Shares, Program Trading, Direct Market Access and the Volatility Trading desks.

- The candidate should be able to work in a multi dimensional business that is heavily client focused, and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.

Responsibilities :

- Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses

- Compliance representative for business lead projects/initiatives

- Developing and updating policies & procedures applicable to the Cash Equity businesses

- Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required

- Co-ordinate with the broader Securities Division Compliance Team on India initiatives and projects as a representative for Equities Compliance

- Assisting with the interpretation and implementation of new rules/regulation

- Coordinating responses to ad-hoc regulatory enquiries