Job Description

Compliance Monitoring \xe2\x80\x93 Manager \xe2\x80\x93 Investment Bank \xe2\x80\x93 Mumbai

From 5 to 7 year(s) of experience
9 Not Disclosed by Recruiter


Mumbai




or

Roles and Responsibilities Primary Responsibilities :

The candidate will have several areas of responsibility including, but not limited to, the following:

• Performing monitoring activities/ test checks (audits) by analyzing regulations and internal policies/rules for each monitoring topic to ensure compliance with the relevant regulations and policies/rules
• Ability to lead a monitoring audit (check) or subcomponents of it
• On-going communication with senior management and other stakeholders to discuss status and results of monitoring audit (checks), and support in the preparation of metrics as per requirement
• Partner with global peers and provide Compliance and Regulatory Subject Matter Expertise to Business colleagues and peers
• Extracting data from multiple sources, organizing in a standardized format, and conducting a meaningful analysis
• Execution of the monitoring activities within departmental methodology/ policies and standards
• Ensuring detailed and self-explanatory documentation of work-papers
• Drafting reports for completed reviews using global templates
• Responding to monitoring quality assurance queries from regional Compliance teams
• Identification of areas requiring attention or findings and assessment of relative risk
• Presentation of findings and recommendations to Compliance Managers in the Regional Compliance Teams
• Helping to follow-up on review findings until resolution

Skills required (essential) :

• The ideal candidate will have 5-7 years professional experience in Internal Audits or Compliance Testing or monitoring at a financial institution
• Proficient in performing data analysis, walkthroughs, controls and substantive testing, high level of attention to detail, interpreting laws or regulations and perform multi tasks while meeting internal quality assurance standards
• Excellent communication skills (written and oral), should possess strong interpersonal, organizational, time management skills and ability to work effectively with colleagues across regions and Business Units
• Creative problem resolution skills with the strive to bring innovative ideas within a progressive and fast-paced environment.
• Self-motivated and willing to assume ownership and accountability
• Proficient in MS Office Suite and internet applications/tools

Skills desired :

• Investment/Asset Management knowledge/experience will be preferred
• Has the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
• Ability to research and resolve issues independently while working across teams to acquire information
• Knowledge of global markets / market regulations
• Industry qualifications - CA / CIA or similar certification

Role:Risk Management & Compliance - Other Salary: Not Disclosed by Recruiter Industry:Investment Banking / Venture Capital / Private Equity Department:Risk Management & Compliance Role Category:Risk Management & Compliance - Other Employment Type:Full Time, Permanent

Key Skills
Internal AuditCompliance MonitoringInvestment BankingCompliance TestingMS Office SuiteFinanceAsset ManagementQuality AssuranceCaAuditing
Education UG:Any Graduate

Company Profile

SKILLVENTORY
We are hiring for Compliance Monitoring - Manager role at leading investment bank based in Mumbai





Recruiter Name:Jay Sampat Contact Company:SKILLVENTORY Telephone:+91-XXXXXXXXXX