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Risk and Compliance Associate

2 months ago

chennai, India FXCM Full time
Job Details Key Duties and Responsibilities Perform assurance reviews and periodic reporting, analysis of communication, trading activity, financial crime and any assigned compliance controls testing areas to ensure compliance with relevant policies and procedures; Inspect key compliance risk indicators in respect to financial promotion, complaints, order executions, and telephone recording arrangements; Identify and review potential key conduct risk issues and document the resolution/course of action; Work with Management team in supporting the AML, Communications and Trade Surveillance programs by reviewing alerts, risk indicators designed to detect potential control deficiency or misconduct; Continuously monitor process, control adequacy, technology stability and escalate issues and risks accordingly; Inspect communications (voice and electronic) to identify misconduct and potential misuse of information; Maintain detailed findings and identify patterns for escalation of significant compliance issues and violations via incident recording; Must Have Qualifications 1-3 years of experience in internal or external audit/compliance/risk management/control testing experience, quality control /assurance/ Experience in assessing risk, reviewing risk ratings, identifying controls gaps and determining the appropriate evaluation methodology. Understanding of AML/CTF, financial crimes and its regulatory framework Previous audit experience in a Big 4 or other top tier accounting firm an advantage Demonstrate strong analytical regulatory research skills Strong English communication skills Hours:  40 hours/week - Monday to Friday; Fully working from the office - Indiqube Alpine (Transit) 7th Floor, Jawaharlal Nehru Road, Guindy Area - adjacent to Ekattuthangal Metro Station. 
We will NOT consider candidates that do not currently reside in the Chennai metro area.

All Technementals Innovation India Private Limited employees must be eligible to work in India.