Central Compliance, NCT Professional

In Scope of Position based Promotions

Job Title: Central Compliance, NCT

Location: Mumbai, India

Role Description

• The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and in partnership with the business. 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.
• The position will be based in Mumbai, India and requires the candidate to work in APAC shift.

Your key responsibilities

• Overseeing and conducting the daily surveillance for alerts generated in Trade, Information Barrier and Communication Surveillance and action the same in a timely manner.
• Liaise with Country Compliance Officers, the business, Operations to investigate surveillance alerts as necessary
• Working with key stakeholders (e. g. Business, Technology, Third party vendors) to identify and implement enhancements to surveillance systems and programs
• Ability to multitask, the prospective candidate will be dealing with multiple requests and working on different surveillance verticals across regions . It is critical that requests are managed in an orderly and timely manner
• Maintaining effective and constructive working relationships with staffs located in other regions to deliver the surveillance program
• Additional duties (BAU/ Non-BAU) as assigned

Your skills and experience

Education and Experience:

• At least 2+ years of experience in relevant field, preferably in Trade / Information Barrier Surveillance
• Bachelor s or Master s in the field of Commerce or Finance / MBA in finance or related field
• Advanced degree or relevant certifications (e. g. , CFA, CAMS) is a plus
• Proficiency in Data analysis and MS Office (esp. Advanced Excel + PowerPoint)
• In-depth knowledge of trade life cycle and market structure
• Good understanding of products such as Equity, Fixed Income, Foreign Exchange, Listed Derivatives and Information barrier surveillance
• Excellent written and verbal communication skills
• Ability to convey complex surveillance findings to both technical and non-technical stakeholders
• We are looking for a collaborative team member who values connection and actively contributes to our workplace culture by participating in team-building events and firm-wide sessions

Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.