Compliance Manager, Compliance

2 days ago

Pune, Maharashtra, India CLSA Full time ₹ 12,00,000 - ₹ 36,00,000 per year
Key Areas of Responsibilities
  • General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
  • Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
  • Drive continuous improvement of the surveillance framework including refinement and calibration
  • Contribute to the implementation of strategic department projects including global and regional initiatives.
  • Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation
  • Assist in the production of effective management information reports for Senior Management
  • Contribute to team discussions, investigations and knowledge acquisition
  • Good 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 Surveillance
Requirements
  • Bachelor'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 Associate
  • Experience in building relationships with stakeholders' Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
  • Familiarity 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 oriented
  • Self-motivated, desire to be challenged and eager to learn
  • Proficient in Word and Excel
  • Good prioritization, organizational and multi-tasking skills
  • Good interpersonal skills and excellent written/oral communication skills.
  • Previous people management experience is preferable

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