Dvp Compliance

3 weeks ago

Mumbai, India Riverforest Connections Full time

**Market Integrity (MI) Expert ? Compliance**

**Position Purpose**

As Compliance Transformation progresses, specialist areas, known as Domains, are to be set up that encompasses the areas of: Financial Security, KYC, Client?s Interests Protection, Professional Ethics and Market Integrity

It?s MI Expert position will be accountable for the handling of local Compliance requirements and development of MI Compliance skills at par with Company standards and to create Compliance culture on MI topics within company and includes responsibility belongs to MI Correspondent for it to works in collaboration with the MI domain

Furthermore, develop necessary skills and raise existing Transaction Monitoring Team Manager as Market Integrity Surveillance Responsible Officer (MISRO), this role will also act as a MISRO

Transaction Monitoring includes both MI (Market Abuse) and AML aspects as per the local regulators (FIU, SEBI, RBI) expectations.

**Responsibilities**

MI correspondent for Company

Deputize to the Head of Compliance for MI domain activities and the additional Compliance activities as assigned from time to time

Manage and guide Compliance MI domain related activities
- Advisor on Market Integrity topics
- Ensures local regulatory watch
- Ensures that all regulations related to Market Integrity are covered by policies
- Ensures that Businesses & Compliance are sensitized to those regulations

Advisor for the regulatory, Exchanges and Depository interactions and correspondences.

Develops and maintains a strong Compliance framework and culture

Develops expertise in compliance MI domain with the support of Group MI experts

Acts as a relay for the MI domain on MI topics

Develops collaborative working principles

Understand and reconcile policies and India regulatory requirements in MI domain.
- Adapts global policies to local constraints & deploy them at local level
- Validates the policies to be adhered and the controls to be implemented
- Participates to training

Coordinates decisions & resolution of advisory queries with respective stakeholders, Territory, APAC or global teams following the pre-agreed decision process

Relays the animation of Compliance Communities within his/her OP with the support of the Domains Compliance stakeholders in India as well as in APAC

Facilitate the set-up of a control environment to ensure adherence to MI and Local Compliance requirements on a continuous basis

Responsible for escalating sensitive transactions, incidents & investigations
- Detects transactions / activities with potential impact on clients / activities / reputation
- Escalates the MI/AML files at Territory/Region level when required / requested or if considered necessary
- Escalates serious incidents and regulator investigations at Territory/Regional level

Responsible for implementing Market Integrity initiatives & projects
- Implements MI global/Regional initiatives & projects, in coordination with central domain and taking into account local constraints

Managerial scope
- Oversight Transaction Monitoring team and the activities (MI and AML)
- Decisions and validate recruitments, appraisals, priorities for N-1 employees Monitor the training roadmap of his/her teams
- Represent, Organise in MI Committees as permanent invitee as and when applicable

Organizational Enablers
- Define annual priorities with input from MI stakeholders from Compliance Territory and APAC
- HR: Recruit, develop, retain and manage MI/ Transaction Monitoring staff
- Compliance COO: Deploy MI tools & systems and assist in GCP

Sponsorship of the Market Integrity/ Transaction Monitoring tools in their perimeter (e.g. Trackwizz)

Works in close cooperation with MI APAC domains

Works in close cooperation with the Head of Compliance and business line heads to ensure consistency of decisions and implementation of policies

**Skills Required**:
Compliance

**Location**

Mumbai

**Years Of Experience**

11 to 17 Years

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