Manager/AVP - Trade Surveillance - Investment Bank

Primary Responsibilities

- Managing functions within the Regulatory Control Mumbai team and effectively integrate new processes and enhance existing ones;

- Interacting with global non market risk teams with regard to supervisory issues and exceptions;

- Interacting with global members from associated control functions, such as Legal, Compliance and Technology Risk;

- Solving problems by effectively collaborating within and across teams outside of the Risk Management function;

- Supervising the offshore review of sales and trading exception reports on a daily basis and maintaining records relating to these reviews, some examples Reg. SHO, Wash Sales and Employee Trading

- Supervising offshore activities around risk controls;

- Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;

- Leading projects related to the supervisory platform and the information security program;

- Establishing relationships and work closely with FID/IED Risk Management, Technology, Operations, Finance, and Compliance.

Skills:

- Chartered Accountant or Master's in Business Management or MBA with 7-10 years background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues

- Effective management and leadership skills

- Strong motivation, be a self-starter with a positive outlook and desire to solve problems

- Strong analytical skills with an ability to understand complex workflows

- Strong communication skills with an ability to speak to senior management

- Ability to identify and escalate issues effectively and appropriately

- Good organizational skills and a high degree of attention to detail

- Strong project management skills

- Strong oral and written communication skills with ability to clearly articulate objectives, requirements, risks and issues

- Proven ability to take ideas forward and to challenge others with integrity and maturity

- Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)

- Enthusiasm to volunteer or lead planning and organizing in events held by the department and firm

This opening is with leading investment bank.

Location will be Mumbai