Compliance Manager, Compliance

2 days ago

pune, India CITIC Full time

Key Areas of ResponsibilitiesGeneral electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulationInvestigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessaryDrive continuous improvement of the surveillance framework including refinement and calibrationContribute to the implementation of strategic department projects including global and regional initiatives.Raising Suspicious Transaction reports (STR) to the local country compliance for further investigationAssist in the production of effective management information reports for Senior ManagementContribute to team discussions, investigations and knowledge acquisitionGood understanding of the trade surveillance terminologies and types of market manipulations.Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm SurveillanceRequirementsBachelor's or Master's in Commerce and Finance/Banking.6-10 years of relevant experience in handling compliance tasks, candidates with less experience will be considered as AssociateExperience in building relationships with stakeholders' Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlinesFamiliarity with SMARTS / Complysci, PTCC.Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.Strong compliance mindset, confidence to question the 'status quo' and challenge stakeholders when the responses are not satisfactory.Investigative skills and flexible to learn other aspects of compliance.Attention to detail and process orientedSelf-motivated, desire to be challenged and eager to learnProficient in Word and ExcelGood prioritization, organizational and multi-tasking skillsGood interpersonal skills and excellent written/oral communication skills.Previous people management experience is preferableStay informed on CITIC CLSA Job OpportunitiesNot the right fit? You can create a job alert to receive our latest job openings that meet your interest.

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