Job Description
Job Title- Regulatory Control Support
Location- Bangalore
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 Department's success.
Compliance is now seeking Sr. Analyst within the compliance Surveillance Group. The primary focus of the group is to review, detect and investigate potential issues or problems, and helping address resulting regulatory, policy or reputational issues.
The position will be based in Bangalore, India and requires the candidate to be flexible to work in APAC shift
What we'll 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
• % 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
• Monitor and Review Communication and Trade Surveillance alerts generated by system daily.
• Report exceptions to Hong Kong team daily.
• Record evidence of monitoring & review performed.
• Ensure that KPI delivery is strictly in line with the Bank's policies & procedures
• Escalate all issues properly, in time, to the appropriate level and seek assistance to avoid any adverse impact on the business.
• Familiarize oneself with the function specific MIS.
• Supporting the manager in investigation requests.
• Support training of new joiners
• Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures
• Ability to multitask, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
• Preparing MI and Tracking KPI's and Status updates for senior management.
• Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions
Your skills and experience
• Bachelor's or Masters in Commerce and Finance.
• The candidate should have minimum 2 to 3 years prior experience in Investment Banking Operations. Having an exposure to Compliance or performing Compliance related roles is a plus.
• Must be detail oriented, Strong communicator, Accountable, Flexible
• Should be familiar with equities and derivatives business. Should have good understanding of equity and derivatives trading process.
• Should have ability to process and analyze diverse transactional behavior and display sound judgment in escalations.
• Ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
• Knowledge/experience with array of financial products is must
• Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
• Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
Competencies:
• English language proficiency (oral and written) required.
• Strong attention to detail, coupled with strong problem-solving skills
• A pro-active, results-oriented approach with strong drive and initiative
How we'll 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
About us and our teams
Please visit our company website for further information:
Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, ****** orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Click to find out more about our diversity and inclusion policy and initiatives
Location- Bangalore
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 Department's success.
Compliance is now seeking Sr. Analyst within the compliance Surveillance Group. The primary focus of the group is to review, detect and investigate potential issues or problems, and helping address resulting regulatory, policy or reputational issues.
The position will be based in Bangalore, India and requires the candidate to be flexible to work in APAC shift
What we'll 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
• % 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
• Monitor and Review Communication and Trade Surveillance alerts generated by system daily.
• Report exceptions to Hong Kong team daily.
• Record evidence of monitoring & review performed.
• Ensure that KPI delivery is strictly in line with the Bank's policies & procedures
• Escalate all issues properly, in time, to the appropriate level and seek assistance to avoid any adverse impact on the business.
• Familiarize oneself with the function specific MIS.
• Supporting the manager in investigation requests.
• Support training of new joiners
• Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures
• Ability to multitask, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
• Preparing MI and Tracking KPI's and Status updates for senior management.
• Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions
Your skills and experience
• Bachelor's or Masters in Commerce and Finance.
• The candidate should have minimum 2 to 3 years prior experience in Investment Banking Operations. Having an exposure to Compliance or performing Compliance related roles is a plus.
• Must be detail oriented, Strong communicator, Accountable, Flexible
• Should be familiar with equities and derivatives business. Should have good understanding of equity and derivatives trading process.
• Should have ability to process and analyze diverse transactional behavior and display sound judgment in escalations.
• Ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
• Knowledge/experience with array of financial products is must
• Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
• Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
Competencies:
• English language proficiency (oral and written) required.
• Strong attention to detail, coupled with strong problem-solving skills
• A pro-active, results-oriented approach with strong drive and initiative
How we'll 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
About us and our teams
Please visit our company website for further information:
Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, ****** orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Click to find out more about our diversity and inclusion policy and initiatives
💡 Quick Summary
Seeking a career-building opportunity? The Regulatory Control Support position is now open for candidates interested in the Bank Jobs sector. This role in Bangalore offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.