Regulatory Compliance Gifts and Entertainment

3 weeks ago

Hyderabad Secunderabad Telangana, India Quess Corp Limited Full time
Key Responsibilities / Duties:
Provided below are Key responsibilities/areas of work:
• Globally manage end-to-end training administration processes for all global Compliance trainings across Americas, APAC and EMEA regions. Key activities include:
o Be a subject matter expert on the features/functionalities of the learning management systems and tools
o Configuration of training contents received from global training owners on the learning management system – configuration of presentations, audio and other elements in appropriate format
o Assignment of trainings to employees and consultants
o Providing support to employees globally in resolving technical issues
o Tracking completion status of trainings
o Performing analysis on training completion status and trends
o Preparation of periodic reports on status of completion of trainings
• Support Global Ethics Office team on specific activities such as:
o Performing first-level analysis to detect potential breaches to personal trading policy for black-out conflicts
o Perform analysis of gifts, benefits and entertainments declared by the employees for countries in Americas, EMEA and APAC regions to detect potential policy breaches/red flags
• Preparation of periodic Regulatory reports:
o Regulatory filings of SFC and MAS for Hong Kong Compliance teams
o Sub-Advisor Due Diligence Questionnaire for Hong Kong
• Policy Management support for global Compliance policies, such as:
o Be a subject matter expert on the features/functionalities of the tool utilized
o Configuring the polices as per standards and support the policy owner across global
o SharePoint maintenance of global Compliance policies, follow up's on overdue polices and periodically tracking policy revisions or updates for CCO's
• Support Compliance teams in Americas region to track completion by FINRA representatives, of specific FINRA requirements such as Licensing and Registrations and Continuous Education.
• Prepare and maintain documentation of procedures, process-flows and roles and responsibilities, for the activities being managed from Hyderabad.
• Maintain, track and report key performance indicators/metrics for Compliance related activities.
• Maintain highly confidential files with respect to sensitive information.
• Execute special projects and ad hoc tasks as required.
• Partner effectively with local and global Compliance team members and other business functions as required.
• Contribute to firm's global initiatives and programs relating to process improvements, enhancing automation, process standardization across countries, improved analytics, and others
• Escalate issues effectively to appropriate levels of management.

Working Conditions:
• Working hours will be from 11.30 AM to 8.30 PM IST. however, the schedule may change from time to time based on business, process or project related requirements
• Shall be open to work flexible hours

Work Experience / Knowledge:
2-4 years of related work experience demonstrating the skills identified; preferably in Global Ethics Office/Code of Ethics or similar Compliance domains in Asset Management industry / similar regulatory environment. Knowledge of financial products will be added advantage.

Skills / Other Personal Attributes Required:
• Good written and verbal communication skills
• Interpersonal skills necessary to effectively communicate over phone with a variety of individuals across various regions and levels
• Strong analytical skills and attention to detail
• Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations
• Team player
• Proficiency on MS Office suite of application

Formal Education: (minimum requirement to perform job duties)
MBA or Degree in Commerce/Finance

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