Regulatory Control Analyst 3-5yrs

2 weeks ago

Bengaluru, Karnataka, India Rangam Infotech Private Limited Full time
Job Description

Job Description

Note:

- Specific/ mandatory skills: Excellent verbal and written communication, Interacted with global stakeholders in previous role, good exposure to capital market products and Trade Surveillance processes.
- Experience range: 3 to 5 years. We can be flexible around experience provided if the candidate is good.
- Open to considering fresher candidates (Yes/No): No
- Open to considering relocation/ non-local candidates (Yes/No): No
- Contract duration: 10 months.
- Shift timings: 7:15am to 4:45pm for 2 weeks and 11:15am to 8:45pm for next 2 weeks
- Number of days work from office: All 5 days for the first month and 3 working days in a week from second month.
- Preference on diversity candidate (yes/No) Yes

Details of the Role and how it fits into the team

The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Department's success.

As a team member of Employee Compliance in Central Compliance, primary focus will be to review, approve and monitor employee activity within the Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA region.

Your key responsibilities:

- Hands on experience in various processes of Employee Compliance - Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management.
- Liaise with Country Compliance Officers, business, Operations or Technology in the development, review, testing and/or enhancement of procedures
- Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
- Preparing MI and Tracking KPIs and Status updates for senior management.
- Handling the BAU of the process along with the process escalations, Stakeholder management, Global projects.

Your skills and experience:

- Bachelor's or Masters in Commerce and Finance.
- The candidate should have minimum 4 years prior experience in Investment Banking Operations. Having an exposure to Compliance Operations or performing Compliance related roles is a plus.
- Must be detail oriented, Strong communicator with excellent verbal and written communication skills
- Exposure to communicating with global stakeholders
- Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives)
- Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
- Strong attention to detail, coupled with strong problem solving skills

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