Compliance Monitoring Specialist
3 weeks ago
Job Title: Monitoring Compliance Officer
Job Summary:
We are seeking a highly skilled Monitoring Compliance Officer to join our Markets Regulatory Compliance Monitoring department. As a key member of our team, you will be responsible for identifying, assessing, monitoring, and reporting compliance risks within the Bank.
Main Responsibilities:
- Assess non-compliance risks by ensuring the proper application of financial market regulations, laws, and codes.
- Perform compliance monitoring controls and/or spot checks.
- Conduct compliance checks on MiFID, EMIR, ESMA, SFTR, PRIIPS, and DFA regulations.
- Participate in the completion of the Compliance monitoring control plan.
- Monitor and maintain the CACIB AP list and perform monthly controls.
- Prepare periodic consolidated reports, Key Production Indicators, and Management Indicators from the global Local Compliance Network.
- Contribute to the consolidation of stakeholders' contributions and communication of the finalized support to GMRC management.
Secondary Responsibilities:
- Participate in the definition of dashboards and service management reports.
- Support ad-hoc requests, special projects, investigations, or regulatory reviews.
- Contribute to the drafting and maintenance of procedures and modernization of processes.
- Disseminate the Compliance culture within the Business line and Compliance advisory.
Requirements:
- Bachelor's degree in a relevant field or equivalent.
- Minimum 3-5 years of professional experience in Corporate and Investment Banking.
- Knowledge of market activities, products, and processes.
- Knowledge of regulations such as MiFID, DFA, and financial code.
- Excellent analytical and research skills.
- Clarity and precision of written and oral communications.
- Ability to work in a team and with the business.
- Fluent English required.
Location: Asia, India
City: NEW DELHI / MUMBAI / BANGALORE / CHENNAI / AHMEDABAD / PUNE
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