Overview
Job Title – Regulatory Control Analyst
Location – Mumbai, India
Role Description :
– The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance.
– Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success.
– The position will be based in Mumbai, India and requires the candidate to work in APAC shift.
What well offer you :
– As part of our flexible scheme, here are just some of the benefits that you’ll enjoy
– Best in class leave policy
– Gender neutral parental leaves
– 100% reimbursement under childcare assistance benefit (gender neutral)
– Sponsorship for Industry relevant certifications and education
– Employee Assistance Program for you and your family members
– Comprehensive Hospitalization Insurance for you and your dependents
– Accident and Term life Insurance
– Complementary Health screening for 35 yrs. and above
Your key responsibilities:
Responsibilities:
– Minimum Experience of 6 years+ in various processes of Info Barrier /Trade Surveillance processes.
– Liaise with Country Compliance Officers, the business, Operations or Technology in the development,
review, testing and/or enhancement of procedures.
– Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that
requests are managed in an orderly and timely manner.
– Prepare and present relevant management information to stakeholders.
– Review and fully investigate Trade and Communication Surveillance escalations and communicate the
same in a timely manner to the Onshore team.
– Handling the BAU of the process along with the process escalations, Client management, Global
projects and Process transitions.
– Provide guidance and training to the India CTS team, mentoring and development of staff involved in
the surveillance process to ensure effective and efficient operation of surveillance activities.
– Managing projects including relating to surveillance and testing of applications.
Education and Experience :
– At least 3+ years of experience in Trade / Information Barrier Surveillance.
– Bachelors or Masters in Commerce and Finance. MBA in finance or related field/ Chartered Accountant(CA). Advanced degree or relevant certifications (e.g., CFA, CAMS) is a plus.In-depth knowledge of trading systems, market structure, and surveillance technologies.
– Good understanding of Market Data for Equity and Derivatives.
– Excellent written and verbal communication skills.
– Ability to convey complex surveillance findings to both technical and non-technical stakeholders.
How well support you:
– Training and development to help you excel in your career
– Coaching and support from experts in your team
– A culture of continuous learning to aid progression
– A range of flexible benefits that you can tailor to suit your needs