Senior Employee Compliance Specialist

5 days ago

Pune, Maharashtra, India beBeeEmployeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Title: Employee Compliance Officer, VP

About the Role

We are seeking a highly skilled and experienced Employee Compliance Officer to join our team. This is an exciting opportunity for someone who wants to take on a leadership role and make a significant impact in the field of employee compliance.

The successful candidate will have a strong background in investment banking compliance operations and be able to lead a team of compliance officers. They will also be responsible for managing escalations, identifying risk-based operating efficiencies, and providing general oversight on employee compliance activities.

This is a challenging and rewarding role that requires strong analytical skills, attention to detail, and excellent communication skills. The ideal candidate will have a proven track record of success in similar roles and be able to work independently with minimal direction.

Key Responsibilities
  • Lead the Personal Account Dealing (PAD), Employee Trade Surveillance and Global Attestation (GA) pillars in DIPL.
  • Manage a team of around 25 tenured Employee Compliance Officers.
  • Manage escalations and EC DIPL team regarding EC matters.
  • Escalation point for breach and consequence management reviews / queries from stakeholder.
  • Ensure escalated cases are followed up and documented and updated in a timely manner.
  • Identify risk-based EC operating efficiencies.
  • Review, investigate and escalate irregularities and abnormal activities.
  • Provide general oversight on EC activities performed by the EC BAU processing team.
  • Partner with other Compliance teams such as Country Compliance and Business Line Compliance in APAC on EC matters
  • Provide support to and manage senior management queries.
Required Skills and Qualifications

To succeed in this role, you will need:

  • 12 to 15 years of Investment Banking experience in Compliance Operation processes.
  • MBA or equivalent degree or PG in Commerce and Finance.
  • Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies.
  • Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits.
  • Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward.
  • Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies.
  • The ability to work under pressure and within tight deadlines with excellent quality.
  • Action oriented with a strong focus on completing tasks while working independently and with minimum direction.
  • Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis)
Benefits

This role offers a competitive salary and benefits package, including:

  • Opportunities for career growth and professional development.
  • A dynamic and supportive work environment.
  • A comprehensive benefits package.
Others

If you are a motivated and results-driven individual who is passionate about employee compliance, we encourage you to apply for this exciting opportunity.

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