Senior Compliance Operations Manager

3 days ago

Bengaluru, Karnataka, India beBeeCompliance Full time
Job Title:

Senior Compliance Operations Manager

Job Description
  • Be a subject matter expert in Employee Compliance activities and lead the Personal Account Dealing (PAD), Employee Trade Surveillance, and Global Attestation (GA) pillars in the organisation's Domestic Investment Products & Liquidity (DIPL) division.
  • Manage a team of around 25 tenured Employee Compliance Officers and oversee daily operations to ensure smooth execution.
  • Effectively manage escalations and coordinate with the EC DIPL team regarding EC matters, providing timely updates and documentation.
  • Serve as an escalation point for breach and consequence management reviews/queries from stakeholders, ensuring that cases are followed up and documented in a timely manner.
  • Maintain task queues and handle closures in a timely manner to prevent backlogs and mitigate potential risks.
  • Identify risk-based EC operating efficiencies and implement process improvements to enhance overall performance.
  • Review, investigate, and escalate irregularities and abnormal activities, maintaining vigilance and professionalism throughout the process.
  • Provide general oversight on EC activities performed by the EC Business As Usual (EC BAU) processing team and collaborate with other compliance teams on regional and global initiatives.
  • Partner with senior management to provide support and address queries, fostering effective communication and collaboration.
  • Work closely with global/regional teams to create Management Information Reports (MI Reports) as required, enhancing transparency and accountability.
  • Support global and ad hoc EC initiatives, driving innovation and continuous improvement.
  • Remain aware of any regional regulatory developments impacting EC processes, adapting and evolving strategies accordingly.
  • Lead ad-hoc IT projects related to Employee Compliance, conduct User Acceptance Testing (UAT) of associated applications, and facilitate implementation of new systems while interacting with local IT teams.
Required Skills and Qualifications
  • A minimum of 12 to 15 years of experience in Investment Banking, specifically in Compliance Operations processes.
  • Hold an MBA or equivalent degree or a Postgraduate degree in Commerce and Finance, demonstrating academic excellence and relevance to the role.
  • Strong operations background in standard banking products, financial market products, stock exchanges, and ability to interpret policies and procedures.
  • Skilled in verbal and written articulation/communication, comfortable presenting to senior management, and experienced in handling audits and regulatory inquiries.
  • Strategic analytical skills, attention to detail, service commitment, and solid people management skills, enabling effective upward and downward communication.
  • Innovative approach to work, ability to continuously identify and implement process improvements, and skilled in automating/create efficiencies.
  • The ability to work under pressure, meet tight deadlines, and deliver high-quality results in a fast-paced environment.
  • Action-oriented with a strong focus on completing tasks independently and with minimal direction, leveraging technology to enhance productivity.
  • Proficient in using MS Office, PowerPoint, and Excel (Pivots, Vlookup, formulas, and data analysis).
Benefits and More

As a Senior Compliance Operations Manager, you will be part of a dynamic team responsible for ensuring the integrity and effectiveness of our compliance operations. This is an excellent opportunity to leverage your expertise, drive strategic initiatives, and make a meaningful impact on the organization.

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