Senior Compliance Advisor

19 hours ago

Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000
Job Description

We are seeking a seasoned professional to lead our compliance operations in the APAC region. This role will oversee the delivery of high-quality services, ensure adherence to regulatory requirements, and drive process improvements.

Key Responsibilities:

  • Be subject matter expert on Personal Account Dealing (PAD) in APAC
  • Lead PAD and Global Attestation (GA) pillars for APAC regional team
  • Manage escalations from APAC employees and EC DIPL team regarding PAD matters
  • Perform quality assurance on tasks performed by EC processing team and ensure QA documentation
  • Escalation point for breach and consequence management reviews/query
  • Ensure escalated cases are followed up and documented and updated in timely manner
  • Handle task queues and close them in timely manner to mitigate backlogs
  • Identify risk-based EC operating efficiencies
  • Review, investigate, and escalate irregularities/abnormal activities
  • Provide general oversight on EC activities performed by EC BAU processing team
  • Partner with other Compliance teams in APAC on EC matters
  • Support senior management queries
  • Work with EC BAU processing team to create MI Reports as required for senior management
  • Support global and ad-hoc EC initiatives
  • Stay aware of any regional regulatory developments impacting EC processes

Required Skills and Qualifications

Experience:

  • 8-10 years of Investment Banking experience in Compliance Operations

Education:

  • MBA or equivalent degree/PG in Commerce and Finance

Skills:

  • Strong operations background in standard banking products, financial market products, stock exchanges
  • Ability to interpret policies
  • Skilled in verbal/written articulation with senior management, comfortable making presentations, exposed to handle audits
  • Strong analytical skills, attention to detail, service commitment, solid people management skills
  • Innovative approach to work, ability to continuously identify/implement process improvements, automate/create efficiencies
  • Ability to work under pressure/tight deadlines with excellent quality
  • Action-oriented with strong focus on completing tasks independently/minimal direction
  • Proficient in MS office, PowerPoint, Excel (Pivots, Vlookup, formulas/data analysis)

Benefits

Our Organization:

Is committed to driving excellence in Compliance Operations.

Others

Why Choose Us?

As a leading organization, we offer challenging roles that drive growth and opportunities for professionals.

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