Investment Advisor

Phenom Placement
  • Bangalore
  • 10-15 lakh
  • 4-8 years
  • Views
  • 14 Jun 2017

  • Finance & Admin

  • Banking - Corporate
Job Description


- Grasp business, compliance and regulatory rules and policies

- Perform and prepare reports relating to surveillance including but not limited to holdings, positions, personal account trading, restricted trading

- Take ownership and provide feedback on reports, creating checklists and resolving exceptions

- Provide guidance to internal clients on appropriate interpretation and application of policies/procedures

- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers

- Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation

- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm

- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant

- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology

- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe

- Identify and effectively escalate potential issues to the appropriate person/s

- Communicate findings to compliance colleagues and suggest potential corrective actions to address issues

- Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation.


Competencies/Skill sets for this job

Building Documentation Reports Surveillance

Job Posted By

About Organisation

Phenom Placement