Posted By

user_img

Monica Gomes

Junior Consultant at TNPL

Last Login: 06 September 2022

Job Views:  
60
Applications:  8
Recruiter Actions:  0

Job Code

960460

Manager - Electronic Communication Surveillance

8 - 10 Years.Mumbai
Posted 3 years ago
Posted 3 years ago

- Responsible for the surveillance of electronic communications and voice communications ,Mails/Messages/Voice calls internal and external to the Firm

- Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager

- Remain updated on developments and changes concerning relevant regulations

- Develop and maintain a good understanding of the Firm's business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities

- Good Knowledge of the EU regulatory environment and the MAR directive

- Identifying gaps within the process and implementing appropriate controls

- Experience in team handling will be preferred

Didn’t find the job appropriate? Report this Job

Posted By

user_img

Monica Gomes

Junior Consultant at TNPL

Last Login: 06 September 2022

Job Views:  
60
Applications:  8
Recruiter Actions:  0

Job Code

960460

UPSKILL YOURSELF

My Learning Centre

Explore CoursesArrow
Apply on the go!

Download the iimjobs app to
apply for jobs anywhere, anytime

apple

Download on

App Store

playStore

Get it on

Google Play

appPromoQr

Scan to Download