Current jobs related to Communication Surveillance Compliance Officer - Mumbai, Maharashtra - Crédit Agricole CIB

  • Officer - Compliance Surveillance - C09 - Mumbai - Hybrid

    4 weeks ago

    Mumbai, Maharashtra, India Citigroup Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At **Citi** , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and...

  • Compl Surveillance Officer

    4 weeks ago

    Mumbai, Maharashtra, India Citigroup Full time

    Serves as a compliance risk officer for Independent Compliance Risk Management ICRM s Surveillance team responsible for the design implementation and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures When potentially anomalous behavior is detected the team is...

  • Compliance Surveillance Officer

    6 days ago

    Mumbai, Maharashtra, India Citigroup Full time

    Citigroup is a global leader in the financial services industry, and we are currently seeking a highly skilled Compliance Surveillance Officer to join our team. As a member of our organization, you will have the opportunity to work with a talented group of professionals who share your passion for compliance and risk management.About the RoleThis is a...

  • Regulatory Control Support – Compliance Surveillance

    4 weeks ago

    Mumbai, Maharashtra, India Deutsche Bank Full time

    Job DescriptionRegulatory Control Support - Compliance Surveillance - Analyst, ASPosition OverviewJob Title: Regulatory Control Support - Compliance Surveillance - AnalystCorporate Title: AssociateLocation: Mumbai, IndiaRole DescriptionThe Compliance Surveillance function at Deutsche Bank is a global function which focuses on the post-event detection of...

  • Surveillance and Compliance Analyst Associate

    6 days ago

    Mumbai, Maharashtra, India Deutsche Bank Full time

    Job Description">As a Surveillance and Compliance Analyst Associate, you will play a critical role in ensuring operational discipline combined with regulatory risk awareness, investigative skills, and warrants that workflows are governed by established policies, clearly defined processes, and escalation points.">You will have responsibility for controls...

  • C13 Surveillance

    4 weeks ago

    Mumbai, Maharashtra, India Citigroup Full time

    DetServes as a compliance risk officer for Independent Compliance Risk Management ICRM s Surveillance team responsible for the design implementation and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures When potentially anomalous behavior is detected the team is...

  • C13 Surveillance

    4 weeks ago

    Mumbai, Maharashtra, India Citigroup Full time

    DetServes as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

  • Surveillance Assistant

    3 weeks ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Surveillance Assistant Opportunity We're seeking a highly motivated and detail-oriented Surveillance Assistant to join our team at Kanjurmarg - Mumbai Desired Attribute: Must have work experience in Surveillance Dept for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Willing to work in...

  • Surveillance Assistant

    2 weeks ago

    Mumbai, Maharashtra, India HDFC Securities Full time

    Surveillance Assistant Opportunity We're seeking a highly motivated and detail-oriented Surveillance Assistant to join our team Desired Attribute: Must have work experience in Surveillance Dept for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Willing to work in Night Shifts Proficient in...

  • Surveillance Assistant

    2 weeks ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Surveillance Assistant Opportunity We are seeking a highly motivated and detail-oriented Surveillance Assistant to join our team in Kanjurmarg - Mumbai. The ideal candidate will have experience working in a surveillance department for capital markets or broking for more than 3 years. Key Requirements: NISM certification in Capital Market, SORM, and Equity...

  • Surveillance Assistant

    4 weeks ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Surveillance Assistant OpportunityWe're seeking a highly motivated and detail-oriented Surveillance Assistant to join our team at Kanjurmarg - MumbaiDesired Attribute:Must have work experience in Surveillance Dept for Capital Market/Broking for more than 3 yearsNISM Certified for Capital Market, SORM, and Equity Derivatives ModuleWilling to work in Night...

  • Surveillance Assistant

    2 days ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Surveillance Assistant Opportunity We're seeking a highly motivated and detail-oriented Surveillance Assistant to join our team at Kanjurmarg - Mumbai Desired Attribute: Must have work experience in Surveillance Dept for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Willing to work in...

  • Regulatory Surveillance Professional

    2 days ago

    Mumbai, Maharashtra, India Deutsche Bank Full time

    Company OverviewWe are a leading global bank dedicated to serving our clients with distinction. Our commitment to innovation, customer satisfaction, and excellence has made us a trusted partner for individuals and businesses alike.We strive to create an inclusive and supportive work environment that fosters growth, learning, and collaboration among our...

  • Surveillance Expert for Cashiering Transactions

    6 days ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Company Overview:Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.About the Job:The successful candidate will be...

  • Aml Surveillance Analyst

    6 days ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    b Role Overview Interactive Brokers seeks an FIU Surveillance Analyst who is hardworking detail-oriented careful and a problem solver This Analyst will be based in the x office and will assist in reviewing and analysing the cashiering activities of the firm s clients in accordance with the firm s AML CTF policy This role requires high energy and...

  • Compliance Manager

    1 week ago

    Mumbai, Maharashtra, India Kotak Securities Full time

    Key Responsibilities: Advertisement Review : Conduct thorough reviews of advertisements in accordance with the code of advertisement. Exchange and Stakeholder Coordination : Collaborate with exchanges and internal stakeholders to facilitate effective advertisement processes. Account Maintenance : Maintain accurate records of account freezes/unfreezes,...

  • Wealth Management Compliance Specialist

    2 days ago

    Mumbai, Maharashtra, India Deutsche Bank Full time

    Regulatory Control ExpertiseThis role requires a high level of expertise in regulatory control, specifically in the areas of monitoring, surveillance, employee compliance, transaction monitoring, and client screening. As a Financial Crime Risk Analyst, you will be responsible for developing and maintaining effective control frameworks to ensure the integrity...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Compliance Assistant Role We are seeking a highly motivated and detail-oriented professional to join our team at our Kanjurmarg location. Required Attributes: A minimum of 3 years of work experience in PMLA Compliance for Capital Market/Broking is essential. NISM certification in Capital Market, SORM, and Equity Derivatives Module is required. Proficiency in...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Compliance Assistant OpportunityWe're seeking a highly motivated and detail-oriented PMLA individual to join our team at our Kanjurmarg locationDesired Attribute:Must have work experience in PMLA Compliance for Capital Market/Broking for more than 3 yearsNISM Certified for Capital Market, SORM, and Equity Derivatives ModuleProficient in MS Office Word, Excel...

  • Compliance Associate

    2 days ago

    Mumbai, Maharashtra, India HDFC securities Full time

    Compliance Assistant Opportunity We're seeking a highly motivated and detail-oriented PMLA individual to join our team at our Kanjurmarg location Desired Attribute: Must have work experience in PMLA Compliance for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Proficient in MS Office...

Communication Surveillance Compliance Officer

1 month ago

Mumbai, Maharashtra, India Crédit Agricole CIB Full time

Key Responsibilities

  • The incumbent shall work within the CM&S area to implement and undertake monitoring of communications across all CACIB business lines. He/she will give input for the design of new communication monitoring strategies.
  • Undertake communication monitoring using Voice and E-Communication monitoring tools to a high standard.
  • Review all generated daily alerts in a timely fashion and within the service level standard.
  • Carry out general surveillance tasks such as the review and analysis of alerts including any referrals and escalations
  • Ensure prompt escalation of any potential breaches with full audit trail recorded in the appropriate system.
  • Assist in any regulatory and internal investigations as appropriate.
  • Be innovative and create ways to improve usage of the existing vendor tools. Also to help track repeat offenders and identify patterns of activity.
  • Identify and escalate potential instances of Market Abuse, Anti competition, Conduct, Operational risk and other market integrity issues to relevant Compliance teams and management.
  • Participate when required to the governance in place including relationship with others CACIB's sites or functions
  • Ensure confidentiality at all times due to privileged information access