Assistant Manager/Manager - Investment Compliance - Banking & Finance
Sudero · Mumbai · onsite · Posted 79d ago
About a minute. You'll make an account on the way through.
About this role
Investment Compliance:
A) Personal Trading Guideline:
- Ensure timely updating of the guideline as per regulatory requirements, benchmarking as may be required for the necessary updation and implementation.
- Oversee implementation and monitoring.
- Conduct quarterly verification for adherence to the requirements of the guidelines.
- Seek information for potential breaches and recommend corrective actions.
- Training and awareness on the guideline requirements.
- Coordinate with relevant stakeholders as may be required for timely implementation, reporting and closure of issues, if any.
B) Investment call recording review:
- Manage periodic reviews of investment-related call recordings to assess adherence to regulatory and internal compliance requirements.
- Identify conduct risks, market abuse indicators, unsuitable investment discussions, or policy deviations, if any in the recordings of dealing room.
- Perform thematic reviews and root cause analysis of observations as may be required.
- Prepare and present compliance findings, trends, and remediation plans to senior management.
- Partner with front-office teams to strengthen control environments and promote best practices.
Management Reporting:
- Monitor key compliance metrics, trends, and emerging risks using data-driven reporting techniques.
- Ensure accuracy, completeness, and timeliness of reports delivered to senior leadership.
- Ensure reporting aligns with governance requirements and regulatory expectations.
- Support Board and Committee meetings through preparation of materials and follow-up actions.
- Co-ordinate with stakeholders for timely submission of the reports.
- Drive implementation and continuous enhancement of Group Governance Framework.
- Monitor compliance with established policies, standards, and control requirements.
- Coordinate governance reviews, policy attestations, and framework assessments.
- Track risk and control issues, remediation activities, and closure effectiveness.
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