Control Room Compliance

Ikya Human Capital Solutions Pvt Ltd
  • Mumbai
  • 10-15 lakh
  • 3-8 years
  • 237 Views
  • 15 Sep 2016
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  • Finance/ Accounts

  • Banking - Retail
Job Description

Roles & Responsibilities: To monitor and approve the Personal Account Dealing and Gifts & Entertainment To conduct reviews of Watch and Restricted List surveillance reports To monitor disclosure of Outside Business Interest & Affiliation Manage Chinese Wall tagging process globally Ensure appropriate disclosures are updated in the research reports Update manuals, policies and procedures relating to the trade surveillance program To monitor the firms trading positions, analysing and preparing relevant disclosures for significant shareholding / Takeover deal for EMEA region.
Key Skills: Must have a good understanding of Security Market and Investment Banking products Good Interpersonal skills; high ethical standard; collaborative; willing to learn and adapt Excellent analytical skills with a disciplined approach to documenting and reporting, with a keen eye for detail being important Perseverance in investigating and identifying issues for potential escalation Good IT skills are required, the individual should be able to show willingness to explore and be part of future system development work Exposure to risk management and compliance profile preferred Highly driven and motivated individual who challenges existing processes with a view to improvement


Competencies/Skill sets for this job

Watchlist Restricted Service Investment Banking

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