Assistant Vice President - Compliance - Trade Surveillance - Financial Services

We have an urgent requirement for compliance role with one of our clients in Mumbai

About Client: Our client is a leading multinational financial services company

Job Location- Mumbai

Desired Experience Range- 8+ years

Role-AVP

Role & Responsibilities:

- Supervisory role for Employee Compliance team, which covers personal account dealing, training, licensing, and compliance MIS support

- Supervise Trade Surveillance team - QC and oversight of trade monitoring alert review, and NFPS cancel and amends

- Global Stakeholder Management

Qualification and Experience:

- Good understanding of Security Market and Investment Banking products

- Ability to handle confidential information and matters with discretion

- Minimum 8 years of related experience in financial services industry including compliance experience

- Detailed oriented, with strong communication skills

- Strong analytical and project management skills

- Understanding of market surveillance models and parameters

- Ability to work independently and interact with all levels of stakeholders across regional compliance teams

- Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, Word, and PPT)