VP - Compliance - Policies & Procedures - Investment Bank

VP-Compliance - Policies & Procedures - Investment Bank

Employer : Leading Investment Bank

Designation : VP

Job Location : Bangalore

Qualification : CA/MBA ( with Min 8 yrs+ Exp in Compliance)

Role and Responsibilities :

Compliance is responsible for developing policies and procedures, surveillance, training, providing advice on anticipated and existing regulations and monitoring employee, client and firm activities. Compliance enables the firm to conduct business with confidence in extremely complex global markets.

This is a role in the Compliance team supporting the Operations, Technology, Finance, Services & HCM functions in India. The successful candidate should be able to work in a multi-dimensional business that is heavily control focused and organize their time to deal with time sensitive issues as well as daily obligations and project workload.

- Provide day-to-day advisory service to Operations, Technology, Finance, Services & HCM on the firm's policies and regulations that apply to these functions .

- Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.

- Review certain regulatory changes and ensure the business is able to support them.

- Develop policies & procedures .

- Work alongside Operations and Technology Risk teams to identify and mitigate any compliance risk inherent in those areas .

- Provide support to the team on various project initiatives .

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